Universal Wealth Management Llc
- Regulatory AUM
- $28.0M
- Discretionary
- $28.0M
- Clients
- 145
- Avg AUM / client
- $193K
- Accounts
- 144
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Jul 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 137 | $11.5M | 41.1% |
| High net worth individuals | 8 | $16.5M | 58.9% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brian Charles Smalley | Registered representative | Nov 2024 (2y) | ||
| William Chad Mitton | Registered representative | Nov 2024 (2y) | ||
| Cynthia Lynn Hall | Registered representative | Apr 2025 (1y) | ||
| Reed Austin | Registered representative | Jun 2025 (1y) | ||
| Timothy John Horst | Registered representative | Feb 2026 (0y) | ||
| Anna M Barone | Registered representative | Apr 2026 (0y) |
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) | 04/29/2026 | 1.14 MB | 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
- Charles Schwab & Co. $28.0M (100% of AUM) Apr 2026
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: Jul 27, 2026.
View current Form ADV (SEC/IAPD) ↗