Wealth Manager at United Capital Financial Partners
Irving, TX, US



As an important member of United Capital Financial Advisors, Inc., the Wealth Manager counsels clients on investment opportunities, in alignment with the client’s needs, goals and tolerance for risk under the direct supervision of the Regional Offices Managing Director. Wealth Managers work directly with clients to provide enduring control over their finances to deliver real and lasting comfort within their entire financial life.


This position requires a pro-active approach and the ability to independently carry out the duties of the position. The ideal candidate will exhibit high standards, excellent communication skills, good judgment, and an ability to take initiative and prioritize daily tasks. The ability to effectively manage time and multi-task with attention to detail is critical to this role.




Client Development:

  • Maintain a thorough understanding of United Capital Financial Advisors, Inc., Advice delivery process including Money Mind®, Honest Conversations® and the 6 Step Process.
  • Successfully lead clients through the Money Mind® and Honest Conversations® process resulting in gathering significant and pertinent data as it relates to the clients entire financial life with the support of an assigned Relationship Manager.

§ Act as the primary Adviser for and manage an assigned client base of firms lower tier clients with the direct oversight of the Regional Offices Managing Director.

§ Actively participate in case design and meeting preparation in Adviser capacity for assigned client base.

§ Advise clients in the areas of investment, tax retirement, education, insurance and estate planning, working closely with the Managing Director, Relationship Manager and Director of Operations to support overall planning needs as well as company objectives.

§ Actively monitor financial markets, specific investments in client’s portfolios, and keep abreast of new investment strategies and investment vehicles to continue to provide the best possible level of service to all firm clients. Take a holistic view of each client’s financial needs and goals under the direction and supervision of the Managing Director ensuring clients remain on track to obtain goals. Act as the primary liaison with client’s accountants, attorneys and other advisors and create a strong relationship as a team to ensure a comprehensive wealth management plan.

§ Actively demonstrate United Capital corporate values, protocol and leadership.

§ Adherence to the UCFA Client Meeting Processes for Advice and pricing Advice accurately.


Client Development: (cont’d)


§ Maintain a thorough understanding of the client’s situation resulting in the ability to review each deliverable with the client, including Investment performance with limited oversight of the Managing Director or Wealth Adviser

§ Maintain clear communication with clients relative to a minimum level of service and ongoing service expectations.

§ Proactively identify client’s issues and/or opportunities identified as a result of having an intimate knowledge of the client’s entire financial life.

§ Actively document all notes and action items during client meetings and ensure all commitments are being completed and/or followed-up on in a timely manner.

§ Review task assignments for each client and work directly with team members to ensure all follow-up and action items as a result of client meetings are documented in Salesforce and completed within the specified time frame.

§ Responsible for reviewing statements, forecasting review data, developing a meeting agenda format, creating presentations, case documentation and deliverables for all assigned clients.


Client Relationship Management: 

§ Support Managing Director with existing client base, as directed or needed.

§ Develops and manages relationships with assigned client base ensuring all clients have a consistent and positive experience.

§ Act as the primary point of contact for all assigned clients, working with applicable members of the team to ensure a timely response to all client questions and concerns.


Professional Growth & Development:

§ Actively participate in the development, coaching and training of Relationship Managers across United Capital.



Experience and Education:

  • A Bachelor's degree in Business, Finance, Accounting and/or Economics or equivalent experience.
  • Must have either Series 7 and Series 66 OR Series 65.
  • Certified Financial Planner or Charted Financial Analyst designation is highly desired.
  • Minimum of 3 years working as a Relationship Manager with at least 2 years in a Senior RM role and/or 2+ years of working as a Wealth Advisor, Financial Adviser or Financial/Business Consultant.
  • Registered as an Investment Advisory Representative (IAR).


Skills and Knowledge:

§ Strong demonstrated quantitative and analytical abilities are vital.

§ Superior people and communication skills are essential, the know how on dealing with clients, even when they are dissatisfied. Strong public speaking skills.

§ Good judgment, problem solver, takes responsibility, demonstrates personal integrity, honesty and is able to deal with confidential information on a daily basis.

§ Proficient in Microsoft Office (Outlook, Word, PowerPoint and Excel).

§ Proficient in Google Apps.

§ A self-starter with a strong sense of ownership, positive professional attitude and demeanor.

§ Must be able to exercise judgment, tact and diplomacy when dealing with clients, other executives and levels of management.

§ Excellent time management and strong organizational skills and ability to prioritize multiple tasks and anticipate potential client issues.