UTA LLC

UTA, LLC advises individuals (including high‑net‑worth clients), businesses, and ERISA plans, offering portfolio management on both a discretionary and non‑discretionary basis as well as standalone financial planning. The firm’s services include advice on mutual funds, ETFs, equities and fixed income, and may involve introducing clients to outside professionals for implementation tasks.

UTA’s investment process begins with a financial plan that frames each client’s objectives and risk tolerance and then constructs a portfolio using a mix of passive and active strategies, selecting managers and instruments with attention to macroeconomic and tax considerations. The firm provides quarterly performance statements and at least annual reviews, and may allocate assets to sub‑advisors or third‑party managers where appropriate.

Noteworthy aspects include a relatively large asset base managed by a two‑advisor team — roughly $214.6 million in assets with $183.2 million managed on a discretionary basis (figures reported as of year‑end) — and the firm’s use of custodian‑supported educational conferences and events described in the brochure. The firm also discloses that its representatives are licensed for insurance but are not appointed to sell commission products, and it will not vote client proxies unless specifically authorized.