-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Myxaqad+4U0sE6k2wePNRcWmaQxjxNcVN9ru0eCygArarBjJDgPYIbgDjA/u5YVf 2Q0immFUeT+zPH2Og0twIA== 0001463217-09-000006.txt : 20090511 0001463217-09-000006.hdr.sgml : 20090511 20090511163211 ACCESSION NUMBER: 0001463217-09-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090511 DATE AS OF CHANGE: 20090511 EFFECTIVENESS DATE: 20090511 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS,INC. CENTRAL INDEX KEY: 0001463217 IRS NUMBER: 201847610 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13508 FILM NUMBER: 09815470 BUSINESS ADDRESS: STREET 1: 500 NEWPORT CENTER DRIVE STREET 2: 2ND FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-999-8500 MAIL ADDRESS: STREET 1: 500 NEWPORT CENTER DRIVE STREET 2: 2ND FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 ucfai13f1stq09.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: MARCH 31, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: UNITED CAPITAL FINANCIAL ADVISERS, INC ------------------------------------------------------------ Address: 500 NEWPORT CENTER DRIVE, 2ND FLOOR, NEWPORT BEACH, CA 92660 ------------------------------------------------------------- Form 13F File Number: --------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: MICHAEL HERMANS ------------------------- Title: CHIEF COMPLIANCE OFFICER ------------------------- Phone: (949) 999-8500 ------------------------- Signature, Place, and Date of Signing: /s/ MICHAEL HERMANS NEWPORT BEACH, CA 5/11/2009 - ------------------------ ------------------ --------- [Signature] [City, State] [Date] Report Type (Check only one): [ ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [X] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: HOTCHKISS ASSOCIATES, LLC. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 ------------ Form 13F Information Table Entry Total: 84 ------------ Form 13F Information Table Value Total: 101,550 ------------ (thousands) List of Other Included Managers: HOTCHKISS ASSOCIATES, INC. Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. ONE, HOTCHKISS ASSOCIATES, INC., 13F FILE NO.28-04052
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGER SOLE SHARED NONE - ------------------------- -------------- --------- ------- ------- --- ---- ------- ------- ----- ------ ----- 3M CO COM 88579Y101 244 4913 SH DEFINED 1 0 0 4913 A T & T INC COM 00206R102 622 24672 SH DEFINED 1 0 12526 12146 ABBOTT LABS COM 002824100 5150 107976 SH DEFINED 1 8250 8550 91176 ADOBE SYS INC COM 00724f101 568 26565 SH DEFINED 1 4300 800 21465 AECOM TECHNOLOGY CORP DE COM 00766T100 224 8600 SH DEFINED 1 0 1000 7600 AFFILIATED MANAGERS GRP COM 008252108 1116 26755 SH DEFINED 1 4200 6800 15755 AMERICA MOVIL SAB DE CV SPON ADR L SH 02364W105 263 9700 SH DEFINED 1 0 4200 5500 AMERICAN INTL GROUP COM 026874107 13 13124 SH DEFINED 1 0 3000 10125 AMGEN INC COM 031162100 282 5696 SH DEFINED 1 600 1296 3800 APACHE CORP COM 037411105 370 5774 SH DEFINED 1 0 5774 0 APPLE INC COM 037833100 8990 85525 SH DEFINED 1 7100 7425 71000 BP PLC ADR SPONSORED ADR 055622104 390 9718 SH SOLE 1 0 0 9718 BRISTOL MYERS SQUIBB CO COM 110122108 524 23926 SH SOLE 1 2000 0 21926 CARMAX INC COM 143130102 515 41400 SH DEFINED 1 0 18200 23200 CHESAPEAKE ENERGY CORP COM 165167107 179 10500 SH SOLE 1 0 0 10500 CHEVRON CORP NEW COM 166764100 736 10948 SH DEFINED 1 700 3000 7248 CHICAGO BRIDGE & IRON NV NY REGISTRY SH 167250109 78 12500 SH DEFINED 1 0 10000 2500 CISCO SYSTEMS INC COM 17275R102 4335 258483 SH DEFINED 1 10200 29350 218933 CLEARWIRE COPR NEW CL A 18538Q105 238 46150 SH DEFINED 1 0 17800 28350 CME GROUP COM 12572Q105 1841 7473 SH DEFINED 1 450 1700 5323 CONOCOPHILLIPS COM 20825C104 415 10591 SH DEFINED 1 1987 2700 5904 CORNING INC COM 219350105 841 63410 SH DEFINED 1 6000 21500 35910 CYBERSOURCE CORP COM 23251J106 2610 176240 SH DEFINED 1 7500 45700 123040 DISNEY WALT CO COM DISNEY 254687106 967 53225 SH DEFINED 1 4300 13900 35025 EMERSON ELECTRIC CO COM 291011104 791 27672 SH DEFINED 1 1000 400 26272 EXXON MOBIL CORP COM 30231G102 2661 39075 SH DEFINED 1 0 7250 31825 FIRST SOLAR INC COM 336433107 793 5975 SH DEFINED 1 200 310 5465 FPL GROUP INC COM 302571104 406 8000 SH DEFINED 1 0 8000 0 GENERAL ELECTRIC CO COM 369604103 1222 120886 SH DEFINED 1 10200 34490 76196 GENERAL MILLS INC COM 370334104 289 5800 SH DEFINED 1 0 5800 0 GOLDMAN SACHS GROUP INC COM 38141G104 2460 23200 SH DEFINED 1 2150 2925 18125 GOOGLE INC CL A 38259P508 2294 6591 SH DEFINED 1 450 1365 4776 GRAINGER W W INC COM 384802104 229 3263 SH SOLE 1 0 0 3263 HNI CORP COM 404251100 175 16800 SH SOLE 1 0 0 16800 HOME DEPOT INC COM 437076102 251 10653 SH SOLE 1 0 0 10653 HURON CONSULTING GROUP COM 447462102 1260 29700 SH DEFINED 1 2700 12000 15000 IBM COM 459200101 1896 19570 SH DEFINED 1 400 4600 14570 IHS INC CL A 451734107 1744 42345 SH DEFINED 1 1800 7650 32895 ILLINOIS TOOL WKS INC COM 452308109 2966 96144 SH DEFINED 1 6800 14000 75344 INTEL CORP COM 458140100 2963 197167 SH DEFINED 1 14800 24400 157967 INTUITIVE SURGICAL INC COM NEW 46120E602 478 5014 SH DEFINED 1 0 950 4064 IRON MOUNTAIN INC. COM 462846106 1829 82515 SH DEFINED 1 1800 6500 74215 ISHARES TR MSCI EAFE IDX 464287465 1224 32552 SH DEFINED 1 0 18000 14552 ISHARES TR RUSSELL 1000 464287622 211 4868 SH SOLE 1 0 0 4868 ISHARES TR RUSSELL 2000 464287655 1436 34152 SH DEFINED 1 0 30700 3452 ISHARES TR RUSSELL MCPVL 464287473 304 12675 SH SOLE 1 0 0 12675 ISHARES TR MSCI EMRG MKT 464287234 518 20875 SH DEFINED 1 1200 16225 3450 ITT CORP NEW COM 450911102 1071 27848 SH DEFINED 1 5700 300 21848 J P MORGAN CHASE & CO COM 46625H100 796 29934 SH DEFINED 1 1760 15929 12245 JOHNSON & JOHNSON COM 478160104 1714 32584 SH DEFINED 1 600 7800 24184 JUNIPER NETWORKS INC COM 48203R104 256 17000 SH DEFINED 1 0 12600 4400 KINDER MORGAN MGMT LLC SHS 49455U100 564 13828 SH DEFINED 1 1107 5122 7599 KOHLS CORP COM 500255104 219 5180 SH SOLE 1 0 0 5180 MEDTRONIC INC COM 585055106 1354 45959 SH DEFINED 1 6600 2000 37359 MICROSOFT CORP COM 594918104 970 52800 SH DEFINED 1 0 800 52000 NETSUITE INC COM 64118Q107 367 32625 SH DEFINED 1 0 12000 20625 NOBLE CORPORATION SHS G65422100 1743 72360 SH DEFINED 1 8300 14000 50060 NORTHERN TRUST CORP COM 665859104 2384 39850 SH DEFINED 1 0 3200 36650 ORACLE CORP COM 68389X105 1504 83220 SH DEFINED 1 7500 16400 59320 PAYCHEX INC COM 704326107 418 16296 SH DEFINED 1 2500 6500 7296 PEPSICO INC COM 713448108 3089 60003 SH DEFINED 1 6775 16235 36993 PFIZER INC COM 717081103 184 13500 SH DEFINED 1 0 1000 12500 PHILIP MORRIS INTL INC COM 718172109 352 9900 SH DEFINED 1 0 2800 7100 PRICE T ROWE GROUP INC COM 74144T108 790 27368 SH DEFINED 1 1800 700 24868 PRIVATEBANCORP INC COM 742962103 152 10500 SH DEFINED 1 0 8000 2500 PROCTER & GAMBLE CO. COM 742718109 1864 39581 SH DEFINED 1 3200 15470 20911 PROLOGIS SH BEN INT 743410102 248 38089 SH DEFINED 1 0 25000 13089 QUALCOMM INC COM 747525103 5027 129201 SH DEFINED 1 9650 22300 97251 SCHLUMBERGER LTD COM 806857108 607 14951 SH DEFINED 1 5100 4375 5476 SOTHEBYS COM 835898107 135 15000 SH SOLE 1 0 0 15000 STARBUCKS CORP COM 855244109 1025 92300 SH DEFINED 1 12600 14500 65200 STERICYCLE INC COM 858912108 5115 107157 SH DEFINED 1 5400 13875 87882 SUNPOWER CORP COM CL A 867652109 340 14310 SH DEFINED 1 400 5400 8510 TARGET CORP COM 87612E106 452 13139 SH DEFINED 1 1300 700 11139 TEVA PHARMACEUTICL IND ADR 881624209 2870 63698 SH DEFINED 1 6450 8475 48773 TIME WARNER INC COM 887317105 262 13583 SH SOLE 1 0 0 13583 UNITED PARCEL SVC INC CL B 911312106 328 6668 SH SOLE 1 800 0 5868 US BANCORP DEL COM NEW 902973304 595 40745 SH DEFINED 1 4000 10400 26345 VANGUARD INTL EQUITY IDX EMR MKT ETF 922042858 842 35750 SH SOLE 1 0 0 35750 VERIZON COMMUNICATIONS COM 92343V104 686 22726 SH DEFINED 1 1815 6000 14911 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 338 19427 SH DEFINED 1 4767 1498 13162 WALGREEN COMPANY COM 931422109 2355 90719 SH DEFINED 1 5500 15500 69719 WELLS FARGO & CO NEW COM 949746101 497 34924 SH DEFINED 1 2000 11000 21924 WINTRUST FINANCIAL CORP COM 97650W108 126 10216 SH SOLE 1 0 0 10216
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