Unifimoney Ria, Inc.
- Regulatory AUM
- $62.0K
- Discretionary
- $62.0K
- Clients
- 154
- Avg AUM / client
- $402
- Accounts
- 154
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 30, 2023
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 154 | $62.0K | 100.0% |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Soppitt, Benjamin, James Joseph | Founder/Ceo | Apr 2019 (7y) | ≈ 37.5% – 75% via Unfimoney, Inc. | |
| Montenecourt, Gene, Edward | Cco | Mar 2022 (4y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Unfimoney, Inc. | Parent Company | Feb 2020 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Soppitt, Benjamin, James Joseph: 50% – 75% of Unfimoney, Inc. × 75% – 100% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2023 | 901 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Drivewealth, Llc $101K (100% of AUM) Apr 2022
- Apex Clearing $62.0K (100% of AUM) Mar 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2023.
View current Form ADV (SEC/IAPD) ↗