0001463217-11-000006.txt : 20111114 0001463217-11-000006.hdr.sgml : 20111111 20111114155858 ACCESSION NUMBER: 0001463217-11-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS, LLC 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: 111202219 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 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS,INC. DATE OF NAME CHANGE: 20090501 13F-HR 1 filing092011.txt SEPTEMBER 2011 - 13F REPORT FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F-HR Form 13F Cover Page Report for the Calendar Year or Quarter Ended: September 30, 2011 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds a new holdings entries. Institutional Investment Manager Filing this report: Name: United Capital Financial Advisers,LLC (Formerly known as: United Capital Financial Advisers,Inc) Address: 500 Newport Center Drive 2nd Floor Newport Beach, CA 92660 13F File Number: 028-13508 This 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 understand 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 Herman Title: Chief Compliance Officer Phone: 949-999-8500 Signature, Place and Date of Signing Michael Herman Newport Beach, CA November 11, 2011 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ x ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager:

Form 13F File Number Name ---------------------- ----------------------- 028-13411 Envestnet Asset Management Inc. 028-11107 Placemark Investments Inc. 028-13466 Northcoast Asset Management, LLC 028-13999 Brown Investment Advisory Inc. 028-01474 NWQ Investment Management Co, LLC 028-06810 Keeley Asset Management Corp. 028-10469 Lazard Freres & Co, LLC 028-00398 Loomis Sayles & Co, LP 028-04558 Parametric Portfolio Associates 028-04691 Schafer Cullen Capital Management Inc. 028-06605 Thornburg Investment Management Inc. 028-01204 Wentworth Hauser & Violich 028-01666 Eagle Asset Management 028-06536 AEW Capital Management

FORM 13F SUMMARY PAGE REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 436 FORM 13F INFORMATION TABLE VALUE TOTAL: $ 1,223,000 (thousands) Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE.

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 MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ 3M CO. COM 88579Y101 7157 99700 SH SOLE 85613 0 14087 A T & T INC (NEW) COM 00206R102 9947 348776 SH SOLE 313091 0 35684 ABAKAN INC COM COM 00258J107 61 49090 SH SOLE 49090 0 0 ABBOTT LABS COM 002824100 8954 175087 SH SOLE 171583 0 3504 ACCENTURE PLC COM G1151C101 3557 67516 SH SOLE 41919 0 25597 ADDUS HOMECARE CORP COM COM 006739106 49 12000 SH SOLE 12000 0 0 ADOBE SYS INC COM 00724F101 404 16732 SH SOLE 5653 0 11079 ADVANCED MICRO DEVICES INC COM 007903107 102 20000 SH SOLE 20000 0 0 AECOM TECHNOLOGY CORP COM 00766T100 2159 122202 SH SOLE 82680 0 39522 AES CORP COM 00130H105 2757 282477 SH SOLE 280902 0 1575 AFFILIATED MANAGERS GROUP COM 008252108 936 11993 SH SOLE 4756 0 7237 AFLAC INC COM 001055102 2320 66381 SH SOLE 63157 0 3224 ALEXION PHARMACEUTICALS INC COM 015351109 4661 72766 SH SOLE 66131 0 6635 ALIGN TECHNOLOGY INC COM 016255101 3726 245592 SH SOLE 515 0 245077 ALLIANCE BERNSTEIN HLDGS LP UN COM 01881G106 1574 115300 SH SOLE 115300 0 0 ALLIANCE RES PARTNER L P UT LT COM 01877R108 1370 20900 SH SOLE 20900 0 0 ALLIANCEBERNSTEIN INCOME FUNCO COM 01881E101 123 15385 SH SOLE 15385 0 0 ALLIANT ENERGY CORP COM 018802108 228 5894 SH SOLE 5894 0 0 ALLSTATE CORP COM 020002101 666 28131 SH SOLE 28131 0 0 ALTRIA GROUP INC COM 02209S103 1378 51381 SH SOLE 43673 0 7708 AMAZON COM INC COM 023135106 304 1405 SH SOLE 1337 0 68 AMERICA MOVIL S A DE C V COM 02364W105 1825 82656 SH SOLE 57355 0 25301 AMERICAN CAP STRATEGIES LTD COM 024937104 0 120332 SH SOLE 120332 0 0 AMERICAN EXPRESS COMPANY COM 025816109 1327 29558 SH SOLE 29251 0 307 AMGEN INC COM 031162100 586 10654 SH SOLE 9761 0 893 AMKOR TECHNOLOGY INC COM COM 031652100 87 20000 SH SOLE 20000 0 0 ANADARKO PETE CORP COM 032511107 404 6402 SH SOLE 5746 0 656 ANALOG DEVICES INC COM 032654105 669 21422 SH SOLE 21397 0 25 ANHEUSER BUSCH INBEV SA/NV SPO COM 03524A108 202 3822 SH SOLE 3626 0 196 ANNALY CAP MGMT INC COM 035710409 187 11256 SH SOLE 9682 0 1574 AON CORP COM 037389103 2500 59552 SH SOLE 59552 0 0 APACHE CORP COM 037411105 981 12229 SH SOLE 6153 0 6076 APPLE INC COM 037833100 62601 164169 SH SOLE 115583 0 48587 APPLIED INDL TECHNOLOGIES INCO COM 03820C105 851 31323 SH SOLE 31323 0 0 ARCHER PETE CORP COM COM 039506100 0 50000 SH SOLE 0 0 50000 ATP OIL & GAS CORP COM COM 00208J108 402 52192 SH SOLE 52192 0 0 AURICO GOLD INC COM 05155C105 208 22162 SH SOLE 22162 0 0 AUTODESK INC COM 052769106 255 9186 SH SOLE 8669 0 517 AUTOMATIC DATA PROCESSING COM 053015103 2043 43328 SH SOLE 39882 0 3446 AUTOZONE INC COM 053332102 276 865 SH SOLE 864 0 1 BAKER HUGHES INC COM 057224107 1434 31079 SH SOLE 31056 0 23 BALL CORP COM 058498106 1617 52142 SH SOLE 50542 0 1600 BANK AMERICA CORP COM 060505104 1266 206791 SH SOLE 202299 0 4492 BANK OF AMERICA CORPORATION WT WARRANT AND RIGH 060505146 952 351400 SH SOLE 351400 0 0 BANK OF AMERICA CORPORATION WT WARRANT AND RIGH 060505153 588 692100 SH SOLE 692100 0 0 BANK OF NEW YORK MELLON CORP COM 064058100 368 19790 SH SOLE 19790 0 0 BARCLAYS BK PLC DJUBS CMDT ETN COM 06738C778 355 8508 SH SOLE 67 0 8441 BARRICK GOLD CORP COM 067901108 398 8529 SH SOLE 8099 0 430 BB&T CORP COM 054937107 1220 57211 SH SOLE 57211 0 0 BECTON DICKINSON & CO. COM 075887109 5594 76294 SH SOLE 76292 0 2 BERKSHIRE HATHAWAY INC DEL COM 084670108 320 3 SH SOLE 3 0 0 BERKSHIRE HATHAWAY INC DEL CL COM 084670702 3051 42951 SH SOLE 36256 0 6695 BHP BILLITON LTD SPONSORED COM 088606108 262 3947 SH SOLE 3657 0 290 BIOCLINICA INC COM COM 09071B100 236 48885 SH SOLE 48885 0 0 BIOGEN IDEC INC COM COM 09062X103 1295 13897 SH SOLE 13897 0 0 BLACKSTONE GROUP L P COM UNIT COM 09253U108 197 16445 SH SOLE 16445 0 0 BLOCK H & R INC COM 093671105 134 10040 SH SOLE 10040 0 0 BOEING CO. COM 097023105 1019 16834 SH SOLE 16359 0 475 BOSWELL J G CO COM COM 101205102 250 370 SH SOLE 370 0 0 BP PLC ADR COM 055622104 1828 50690 SH SOLE 40420 0 10270 BRISTOL MYERS SQUIBB CO. COM 110122108 6640 211614 SH SOLE 198659 0 12955 BROADCOM CORP COM 111320107 843 25335 SH SOLE 24833 0 502 BROOKFIELD ASSET MGMT INC COM 112585104 560 20333 SH SOLE 20272 0 61 BROWN FORMAN CORP CLASS B COM 115637209 586 8352 SH SOLE 8352 0 0 BUNGE LIMITED COM G16962105 215 3686 SH SOLE 3677 0 9 CALAMOS CONV & HIGH INCOME FCO COM 12811P108 155 13928 SH SOLE 8711 0 5217 CALAVO GROWERS INC COM 128246105 3949 192462 SH SOLE 57362 0 135100 CALYPTE BIOMEDICAL CORP COM NE COM 131722605 7 480769 SH SOLE 480769 0 0 CAPITAL ONE FINL CORP COM 14040H105 665 16775 SH SOLE 14737 0 2038 CAPITAL ONE FINL CORP WT EXP 1 WARRANT AND RIGH 14040H139 2439 176381 SH SOLE 176381 0 0 CAPITALSOURCE INC COM COM 14055X102 8297 1351279 SH SOLE 1351279 0 0 CARDINAL HEALTH INC COM 14149Y108 215 5144 SH SOLE 2955 0 2189 CARMAX INC COM 143130102 820 34389 SH SOLE 7944 0 26445 CATERPILLAR INC COM 149123101 1096 14840 SH SOLE 13967 0 873 CB RICHARD ELLIS GROUP INC COM 12497T101 153 11350 SH SOLE 11350 0 0 CELANESE CORP DEL COM SER A COM 150870103 250 7674 SH SOLE 7674 0 0 CERNER CORP COM 156782104 10001 145958 SH SOLE 145958 0 0 CHECK POINT SOFTWARE TECH COM M22465104 517 9795 SH SOLE 9795 0 0 CHESAPEAKE ENERGY CORP COM 165167107 340 13305 SH SOLE 880 0 12425 CHEVRON TEXACO CORP COM 166764100 12376 133669 SH SOLE 121323 0 12346 CHICAGO BRIDGE & IRON CO. COM 167250109 1207 42150 SH SOLE 40960 0 1190 CHIPOTLE MEXICAN GRILL INC CL COM 169656105 4088 13494 SH SOLE 12202 0 1292 CHUBB CORP COM 171232101 1486 24764 SH SOLE 24764 0 0 CINEDIGM DIGITAL CINEMA CORPCO COM 172407108 19 16304 SH SOLE 16304 0 0 CISCO SYSTEMS INC COM 17275R102 5812 374939 SH SOLE 202952 0 171987 CITIGROUP INC COM 172967424 558 21796 SH SOLE 18401 0 3395 CITY NATL CORP COM 178566105 583 15452 SH SOLE 14578 0 874 CLIFFS NATURAL RESOURCES INCCO COM 18683K101 536 10478 SH SOLE 10175 0 303 CLOROX CO. COM 189054109 333 5021 SH SOLE 4771 0 250 CME GROUP INC COM 12572Q105 1562 6339 SH SOLE 1389 0 4950 COACH INC COM 189754104 1519 29299 SH SOLE 13695 0 15604 COCA COLA CO. COM 191216100 5259 77849 SH SOLE 76930 0 919 COGNIZANT TECHNOLOGY SOLUTIONS COM 192446102 217 3467 SH SOLE 3433 0 34 COLGATE PALMOLIVE CO. COM 194162103 9634 108634 SH SOLE 105433 0 3201 COMCAST CORP CLASS A COM 20030N101 338 16150 SH SOLE 14570 0 1580 CONOCO PHILLIPS COM 20825C104 2257 35637 SH SOLE 19653 0 15984 CONSOLIDATED EDISON INC COM 209115104 246 4318 SH SOLE 4239 0 79 CORNING INC COM 219350105 1891 152991 SH SOLE 137821 0 15170 COSTCO WHSL CORP NEW COM 22160K105 2159 26291 SH SOLE 17762 0 8529 COVENTRY HEALTH CARE INC COM 222862104 569 19743 SH SOLE 19685 0 58 COVIDIEN PLC COM G2554F113 759 17218 SH SOLE 16838 0 380 COVIDIEN PLC ORDINARY SHARE COM G2554F105 0 10856 SH SOLE 10856 0 0 CREDIT SUISSE NASSAU BRH ETN L COM 22542D852 939 42632 SH SOLE 38629 0 4003 CRESTON RES LTD COM COM 226270106 0 10000 SH SOLE 10000 0 0 CUMMINS ENGINE INC COM 231021106 319 3906 SH SOLE 3781 0 125 CVS CORP COM 126650100 746 22197 SH SOLE 21282 0 915 CYBERKEY SOLUTIONS INC COM COM 23247S103 0 120000 SH SOLE 120000 0 0 DAIS ANALYTIC CORP COM COM 23302X104 58 152467 SH SOLE 152467 0 0 DANAHER CORP COM 235851102 6899 164486 SH SOLE 164434 0 52 DEERE & CO. COM 244199105 569 8806 SH SOLE 8386 0 420 DEMOCRASOFT INC COM COM 24811V100 3 16203 SH SOLE 16203 0 0 DENTSPLY INTL INC NEW COM COM 249030107 1109 36137 SH SOLE 35773 0 364 DEUTSCHE TELECOM AG SPON ADR COM 251566105 270 22772 SH SOLE 21624 0 1148 DEVON ENERGY CORP COM 25179M103 971 17513 SH SOLE 16770 0 743 DIAMOND OFFSHORE DRILLING IN COM 25271C102 355 6478 SH SOLE 5172 0 1306 DIGITAL RLTY TR INC COM 253868103 1116 20239 SH SOLE 18117 0 2122 DISCOVER FINL SERVI MAY 23 OPTION - PUT 254709108 0 702 SH PUT SOLE 60 0 642 DISNEY WALT PRODUCTION COM 254687106 1625 53866 SH SOLE 41523 0 12343 DOMINION RES INC VA COM 25746U109 230 4523 SH SOLE 4523 0 0 DOVER CORP COM 260003108 348 7476 SH SOLE 7393 0 83 DOW CHEMICAL CORP COM 260543103 496 22072 SH SOLE 20861 0 1211 DU PONT EI DE NEMOURS CO. COM 263534109 4464 111681 SH SOLE 93824 0 17857 DUKE REALTY CORP COM 264411505 248 23586 SH SOLE 16943 0 6643 E DIGITAL CORP COM COM 26841Y103 2 52500 SH SOLE 52500 0 0 E M C CORP MASS COM 268648102 3365 160292 SH SOLE 158254 0 2038 EAGLE BANCORP INC MD COM COM 268948106 2394 203435 SH SOLE 203435 0 0 EASTGROUP PPTY INC COM COM 277276101 1586 41574 SH SOLE 41574 0 0 ECHO GLOBAL LOGISTICS INC COM COM 27875T101 219 16472 SH SOLE 16472 0 0 EMERSON ELECTRIC CO. COM 291011104 6452 156179 SH SOLE 108450 0 47729 ENERGY TRANSFER EQUITY L P COM COM 29273V100 2323 66800 SH SOLE 66800 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 10560 263009 SH SOLE 257579 0 5430 EOG RES INC COM 26875P101 537 7558 SH SOLE 7558 0 0 ERESEARCHTECHNOLOGY INC COM COM 29481V108 165 37000 SH SOLE 37000 0 0 EVOTEC AG SPONSORED ADS COM 30050E105 98 16027 SH SOLE 16027 0 0 EXELON CORP COM 30161N101 1167 27398 SH SOLE 27398 0 0 EXXON MOBIL CORP COM 30231G102 14755 203157 SH SOLE 166669 0 36488 FAUQUIER BANKSHARES INC VA COM COM 312059108 158 13912 SH SOLE 13912 0 0 FEDEX CORP COM 31428X106 1044 15421 SH SOLE 15379 0 42 FIDUCIARY CLAYMORE MLP OPP FD COM 31647Q106 1948 101535 SH SOLE 25905 0 75630 FIFTH STREET FINANCE CORP COM COM 31678A103 780 83731 SH SOLE 78420 0 5311 FIFTH THIRD BANCORP COM 316773100 731 72380 SH SOLE 71807 0 573 FIRST HORIZON NATL CORP COM COM 320517105 352 59080 SH SOLE 59080 0 0 FIRST SOLAR INC COM 336433107 318 5036 SH SOLE 1409 0 3627 FIRST ST BANCORPORATION COM COM 336453105 0 11200 SH SOLE 11200 0 0 FISERV INC COM 337738108 315 6196 SH SOLE 5196 0 1000 FLANDERS CORP COM COM 338494107 330 111900 SH SOLE 106900 0 5000 FLOWSERVE CORP COM COM 34354P105 395 5342 SH SOLE 4949 0 393 FLUOR CORP NEW COM 343412102 817 17544 SH SOLE 16848 0 696 FOCUS BUSINESS BANK CAL COM COM 34415X105 75 30000 SH SOLE 0 0 30000 FORD MTR CO DEL COM 345370860 512 52903 SH SOLE 47667 0 5236 FREEPORT MCMORAN COPPER & GOLD COM 35671D857 4361 143216 SH SOLE 127055 0 16161 FX ENERGY INC COM COM 302695101 79 19019 SH SOLE 19019 0 0 GENERAL DYNAMICS CORP COM 369550108 356 6258 SH SOLE 6144 0 114 GENERAL ELECTRIC COM 369604103 13144 863590 SH SOLE 793717 0 69873 GENERAL MLS INC COM 370334104 632 16428 SH SOLE 16368 0 60 GENEREX BIOTECHNOLOGY CP COM 371485103 17 184000 SH SOLE 182000 0 2000 GIGOPTIX INC COM COM 37517Y103 226 137197 SH SOLE 0 0 137197 GLADSTONE CAPITAL CORP COM COM 376535100 1624 236665 SH SOLE 236665 0 0 GLADSTONE COML CORP COM COM 376536108 6713 428121 SH SOLE 428121 0 0 GLAXOSMITHKLINE PLC SPON ADR COM 37733W105 466 11292 SH SOLE 9237 0 2055 GOLDMAN SACHS GROUP COM 38141G104 2941 31105 SH SOLE 16765 0 14340 GOOGLE INC COM 38259P508 13778 26751 SH SOLE 21783 0 4968 GOVERNMENT PPTYS INCOME TR COM COM 38376A103 3117 144900 SH SOLE 144900 0 0 GPS INDS INC COM COM 383870102 0 50000 SH SOLE 50000 0 0 GRAINGER W W INC COM 384802104 536 3587 SH SOLE 97 0 3490 GREENLAND MINERALS AND ENERGSH COM Q4352V117 5 10000 SH SOLE 0 0 10000 HALLIBURTON CO. 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COM 428236103 3303 147132 SH SOLE 146405 0 727 HOME DEPOT INC COM 437076102 1139 34654 SH SOLE 25537 0 9117 HOME PROPERTIES INC COM COM 437306103 3784 66670 SH SOLE 66670 0 0 HOMEOWNERS CHOICE INC COM COM 43741E103 144 22384 SH SOLE 0 0 22384 HONEYWELL INTL INC COM 438516106 1380 31430 SH SOLE 29198 0 2232 HOST HOTELS & RESORTS INC COM COM 44107P104 201 18336 SH SOLE 18336 0 0 I B M COM 459200101 21128 120820 SH SOLE 102115 0 18705 IHS INC COM 451734107 2350 31409 SH SOLE 3951 0 27458 ILLINOIS TOOL WKS INC COM 452308109 4478 107644 SH SOLE 44958 0 62686 ILLUMINA INC COM COM 452327109 438 10709 SH SOLE 2805 0 7904 IMAGEWARE SYS INC COM COM 45245S108 28 40000 SH SOLE 40000 0 0 INSTACARE CORP COM NEW COM 45776H208 13 557243 SH SOLE 557243 0 0 INTEGRAL TECHNOLOGIES INC COM COM 45810J103 5 12000 SH SOLE 12000 0 0 INTEL CORP COM 458140100 6693 313731 SH SOLE 171707 0 142023 INTUITIVE SURGICAL INC COM 46120E602 6721 18451 SH SOLE 12188 0 6264 INVESCO VAN KAMPEN ADVANTAGESH COM 46132E103 157 12911 SH SOLE 12911 0 0 INVO BIOSCIENCE INC COM COM 44984F104 1 30000 SH SOLE 30000 0 0 IRON MOUNTAIN INC. 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