Robert Thomas Brown, CFP | Financial Professional | Irving, Texas | UNITED CAPITAL FINANCIAL ADVISORS

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Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Credentials

CFP®

Certified Financial Planner

Years of Experience

27 years registered in the securities industry

Current & Past Employments

Current

UNITED CAPITAL FINANCIAL ADVISORSCurrent·CRD# 134600

RIA

1. 125 E John Carpenter Frwy Ste 1300, Irving, TX 750622. Rye, NY

December 3, 2025 - Present

INTEGRITY ALLIANCE, LLC.Current·CRD# 139627

RIA

BD

Rye, NY

March 13, 2026 - Present

Past

PRIVATE CLIENT SERVICES, LLCPast·CRD# 120222

BD

Rye, NY

September 21, 2018 - December 8, 2025

APEXIUM FINANCIAL LPPast·CRD# 283726

RIA

Rye, NY

November 7, 2025 - December 4, 2025

MML INVESTORS SERVICES, LLCPast·CRD# 10409

BD

New York, NY

September 16, 1999 - May 9, 2008

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Current Firm

UC

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - SEC (6/9/2005 Approved)

Contact Information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Phone Number

(972) 822-2055

# of Employees

289

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/31/2026)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/31/2026)

Regulatory Assets Under Management

Total Number of Accounts

45,106

AUM (Assets Under Management)

$24,646,765,344

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/13/2026	Cover Page	Report
01/26/2026	Cover Page	Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)M FINANCIAL GROUP; INSURANCE BROKERAGE; INVESTMENT RELATED; PORTLAND, OR; OWNER; JAN 2016; 0 HOURS PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS; INSURANCE BROKER 2) REGISTERED REPRESENTATIVE AND INDEPENDENT CONTRACTOR OF INTEGRITY ALLIANCE, LLC ("INTEGRITY ALLIANCE"), A REGISTERED BROKER-DEALER, MEMBER FINRA & SIPC. INTEGRITY WEALTH IS A MARKETING NAME FOR INTEGRITY ALLIANCE. UNITED CAPITAL IS NOT AFFILIATED WITH INTEGRITY WEALTH. WHEN ACTING IN THE CAPACITY OF A REGISTERED REPRESENTIVE, RECEIVES COMPENSATION GENERATED FROM COMMISSIONS AND SUCH COMPENSATION MAY VARY. THIS GIVES AN INCENTIVE TO RECOMMEND INVESTMENT PRODUCTS BASED ON THE COMPENSATION RECEIVED RATHER THAN ON THE CLIENT'S NEEDS. CLIENTS ARE UNDER NO OBLIGATION TO CONDUCT BROKERAGE BUSINESS THROUGH THE ASSOCIATE WITH INTEGRITY WEALTH. WHEN ACTING IN AN ADVISORY CAPACITY UNDER UNITED CAPITAL, THERE IS A FIDUCIARY OBLIGATION TO ACT IN THE CLIENT'S BEST INTEREST. 3) CAPSTONE WEALTH MANAGEMENT, LLC; NON-INVESTMENT RELATED; 57 OSBORN RD,RYE, NY,10580, NATURE OF THE BUSINESS: RECEIVES INS RENEWALS FROM OLD POLICIES SOLD PRE -2016, START DATE: 12/01/2002, 0HRS DURING TRADING /SECURITIES, NO JOB DUTIES. 4) BRUNSWICK INVESTMENTS, LLC;, NON-INVESTMENT RELATED; 57 OSBORN RD,RYE, NY,10580; NATURE OF BUSINESS:PERSONAL RESTATE PLANNING,POSITION: OTHER,TITLE;OTHER, START DATE:11/08/23, 0HRS DURING TRADING /SECURITIES, DUTIES: PERSONAL ESTATE PLANNING VEHICLE. 5) SOUNDWATCH CAPITAL, LLC; UNITED CAPITAL FINANCIAL ADVISORS-INVESTMENT RELATED: ROWAYTON, CT; NATURE OF BUSINESS: OPTIONS OVERLAY STRATEGY; POSITION: OWNER, START DATE: 12/1/25, HRS DEVOTED TO BUSINESS:0 HRS, SECURITY TRADING HRS:0 HRS., DUTIES: MANAGE OPTIONS STRATEGIES 6) UNITED CAPITAL RISK MANAGEMENT-INVESTMENT RELATED: NO, 125 E JOHN CARPENTER FWY, STE 1300, IRVING, TX 75062, NATURE OF BUSINESS: INSURANCE, POSITION: INSURANCE, START DATE: 11/11/25, HRS DEVOTED TO BUSINESS:1 HR, SECURITY TRADING HRS:1 HRS., DUTIES: INSURANCE. 7) UNITED CAPITAL FINANCIAL ADVISORS POSITION: Employee NATURE: RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 11/10/2025 ADDRESS: 125 E John W Carpenter Fwy, Suite 1300, Irving TX 75062, United States DESCRIPTION: managing director

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UC

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - SEC (6/9/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Connecticut
(3/13/2026)

RR

Georgia
(3/13/2026)

RR

Hawaii
(3/13/2026)

RR

Maryland
(3/13/2026)

RR

New Jersey
(3/13/2026)

IAR

New York
(12/3/2025)

RR

New York
(3/13/2026)

RR

North Carolina
(3/13/2026)

RR

Ohio
(3/13/2026)

RR

Rhode Island
(3/13/2026)

IAR

Texas
(12/3/2025)

RR

Texas
(3/13/2026)

RR

Virginia
(3/13/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.