{ "crd_number": 39062, "slug": "united-brokerage-services-inc-parkersburg-wv-39062", "primary_business_name": "UNITED BROKERAGE SERVICES INC", "legal_name": "UNITED BROKERAGE SERVICES, INC", "dbas": [], "city": "Parkersburg", "state": "WV", "country": "United States", "cbsa_code": "37620", "metro": { "cbsa_code": "37620", "common_name": "Parkersburg", "msa_name": "Parkersburg-Vienna, WV", "path": "/advisors/wv/parkersburg" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2015-01-09", "years_registered": 11, "period": "2026-10-01", "filing_date": "2026-04-10", "carried_forward": false, "raum_total": 372273451.0, "raum_discretionary": 0.0, "raum_non_discretionary": 372273451.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 95, "advisory_employees": 55, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 286292275.0, "count": 1319 }, "pension_profit_sharing": { "raum": null, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 61547576.0, "count": 49 }, "corporations_other_businesses": { "raum": 24433600.0, "count": 22 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "AL", "CA", "DC", "FL", "GA", "HI", "KY", "MD", "NC", "NJ", "NY", "OH", "PA", "SC", "TN", "TX", "VA", "WV" ], "websites": [ "https://united-brokerage.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/39062", "city_as_filed": "PARKERSBURG", "url": "https://advisorcensus.com/firm/united-brokerage-services-inc-parkersburg-wv-39062", "display_name": "United Brokerage Services Inc", "summary": "United Brokerage Services Inc is an SEC-registered investment advisory firm in Parkersburg, WV, registered since 2015, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 10, 2026.", "citation": "AdvisorCensus. United Brokerage Services Inc (CRD 39062): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is United Brokerage Services Inc compensated?", "a": "On its Form ADV (Item 5.E, October 2026), United Brokerage Services Inc reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is United Brokerage Services Inc located?", "a": "United Brokerage Services Inc's principal office is in Parkersburg, WV, according to its Form ADV; the May 2026 filing also lists 22 other offices (Schedule D, Section 1.F)." }, { "q": "Is United Brokerage Services Inc registered with the SEC or a state?", "a": "United Brokerage Services Inc is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 39062." }, { "q": "How much does United Brokerage Services Inc manage?", "a": "United Brokerage Services Inc reports $372,273,451 in regulatory assets under management in its Form ADV filing dated April 10, 2026 (0% discretionary)." }, { "q": "How have United Brokerage Services Inc's assets and staff changed since 2021?", "a": "In the Form ADV data for United Brokerage Services Inc: Regulatory assets under management: $203,445,306 in the October 2021 data and $372,273,451 in the October 2026 data, up 83%. Total employees: 95 in October 2021 and 95 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does United Brokerage Services Inc serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,319); high net worth individuals (49); corporations or other businesses not listed above (22)." }, { "q": "Which custodians does United Brokerage Services Inc use?", "a": "United Brokerage Services Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Wells Fargo Clearing Services, LLC as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does United Brokerage Services Inc report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/39062" }, { "q": "What changed in United Brokerage Services Inc's recent Form ADV filings?", "a": "In the May 2026 filing data: Registered or notice-filed in TN." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 203445306.0, "total_employees": 95, "filing_date": "2021-03-29" }, { "period": "2022-10-01", "regulatory_assets_under_management": 286095083.0, "total_employees": 108, "filing_date": "2022-07-08" }, { "period": "2023-10-01", "regulatory_assets_under_management": 229449080.0, "total_employees": 100, "filing_date": "2023-09-05" }, { "period": "2024-10-01", "regulatory_assets_under_management": 249745693.0, "total_employees": 101, "filing_date": "2024-03-26" }, { "period": "2025-10-01", "regulatory_assets_under_management": 389130559.0, "total_employees": 101, "filing_date": "2025-04-04" }, { "period": "2026-10-01", "regulatory_assets_under_management": 372273451.0, "total_employees": 95, "filing_date": "2026-04-10" } ], "recent_changes": [ { "period": "2026-05-01", "period_label": "May 2026", "notes": [ "Registered or notice-filed in TN." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 53 to 55.", "Changed its office addresses in Arlington, VA.", "Changed its office addresses in Fairfax, VA." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Wells Fargo Clearing Services, LLC", "name_as_filed": "WELLS FARGO CLEARING SERVICES, LLC", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/united-brokerage-services-inc-parkersburg-wv-39062.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 1319, "fewer_than_5": false, "raum": 286292275.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 49, "fewer_than_5": false, "raum": 61547576.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": null }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 22, "fewer_than_5": false, "raum": 24433600.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/39062", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }