UMA FINANCIAL SERVICES, INC.

HTTPS://TWITTER.COM/UMAFS SALT LAKE CITY, UT Investment Advisor How do I update this listing?

UMA Financial Services is based out of Salt Lake City. UMA Financial Services is a large advisory firm with 1016 clients and discretionary assets under management (AUM) of $737,668,884 (Form ADV from 2020-03-27). Their last reported 13F filing for Q1 2020 included $200,132,000 in managed 13F securities and a top 10 holdings concentration of 53.97%. UMA Financial Services's largest holding is iShares Core S&P 500 ETF with shares held of 165,863. Whalewisdom has at least 3 13F filings

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03/31/2020

13F Activity

  • Market Value $200.132 Million
  • Prior Market Value $224.732 Million
  • New Purchases10 stocks
  • Additional Purchases46 stocks
  • Sold out of22 stocks
  • Reduced holdings in42 stocks
  • Top 10 Holdings % 53.97 %
  • Turnover % [1]:29.63%
  • Turnover Alt % [2]: 18.00 %
  • Time Held Top20:1.55 quarters
  • Time Held Top10:1.30 quarters
  • Time Held All:1.75 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 22.5%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

UMA FINANCIAL SERVICES INC
310 EAST 4500 SOUTH SUITE 550
SALT LAKE CITY UT    84107
Country: United States

Business Phone: 801-747-0800
Fax: 801-747-3520
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: UT
Number of employees: 13
Other Business Activities: insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities: 1,000,000
Total Number of Clients: 1016
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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UMA FINANCIAL SERVICES INC

ownership team - last updated 2020-06-04
Name Title Start Date Direct/Indirect % Ownership
UTAH MEDICAL ASSOCIATION SHAREHOLDER 09/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC SHAREHOLDER direct 1993-09-01
UMA FINANCIAL & INSURANCE SERVICES INC 501(C)(6) direct 1993-09-01 2010-03-30
UMA FINANCIAL SERVICES INC SOLE OWNER direct 1993-09-01 2014-03-31
MICHELLE, MCOMBER DIRECTOR 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2005-01-01
UMA FINANCIAL SERVICES INC DIRECTOR direct 2009-09-01
ZESIGER, JEFFREY, DELL CHIEF COMPLIANCE OFFICER, PRESIDENT 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC PRESIDENT direct 2013-03-01
UMA FINANCIAL SERVICES INC CHIEF COMPLIANCE OFFICER, PRESIDENT direct 2013-03-01
MILLER, STEVEN, K. DIRECTOR 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2012-10-01
HAMILTON, WILLIAM DIRECTOR 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2014-09-01
WOODRUFF, MARK, THOMPSON DIRECTOR 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2006-01-01
Jeffreys, Nicole, D. DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2017-01-01
Bailey, John, C. DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2016-01-01
Howell, Elizabeth, F. DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2017-01-01
NEWTON, MATTHEW, TYLER DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2018-01-01
Weeks, Howard, R DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2018-01-01

UMA FINANCIAL SERVICES INC

ownership team - last updated 2020-03-27
Name Title Start Date Direct/Indirect % Ownership

UMA FINANCIAL SERVICES INC

ownership team - last updated 2019-12-02
Name Title Start Date Direct/Indirect % Ownership
UTAH MEDICAL ASSOCIATION SHAREHOLDER 09/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC SHAREHOLDER direct 1993-09-01
UMA FINANCIAL & INSURANCE SERVICES INC 501(C)(6) direct 1993-09-01 2010-03-30
UMA FINANCIAL SERVICES INC SOLE OWNER direct 1993-09-01 2014-03-31
MICHELLE, MCOMBER DIRECTOR 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2005-01-01
UMA FINANCIAL SERVICES INC DIRECTOR direct 2009-09-01
ZESIGER, JEFFREY, DELL CHIEF COMPLIANCE OFFICER, PRESIDENT 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC PRESIDENT direct 2013-03-01
UMA FINANCIAL SERVICES INC CHIEF COMPLIANCE OFFICER, PRESIDENT direct 2013-03-01
MILLER, STEVEN, K. DIRECTOR 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2012-10-01
HAMILTON, WILLIAM DIRECTOR 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2014-09-01
WOODRUFF, MARK, THOMPSON DIRECTOR 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2006-01-01
Jeffreys, Nicole, D. DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2017-01-01
Bailey, John, C. DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2016-01-01
Howell, Elizabeth, F. DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2017-01-01
NEWTON, MATTHEW, TYLER DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2018-01-01
Weeks, Howard, R DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2018-01-01

UMA FINANCIAL SERVICES INC

ownership team - last updated 2019-03-14
Name Title Start Date Direct/Indirect % Ownership
UTAH MEDICAL ASSOCIATION SHAREHOLDER 09/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC SHAREHOLDER direct 1993-09-01
UMA FINANCIAL & INSURANCE SERVICES INC 501(C)(6) direct 1993-09-01 2010-03-30
UMA FINANCIAL SERVICES INC SOLE OWNER direct 1993-09-01 2014-03-31
MICHELLE, MCOMBER DIRECTOR 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2005-01-01
UMA FINANCIAL SERVICES INC DIRECTOR direct 2009-09-01
ZESIGER, JEFFREY, DELL CHIEF COMPLIANCE OFFICER, PRESIDENT 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC PRESIDENT direct 2013-03-01
UMA FINANCIAL SERVICES INC CHIEF COMPLIANCE OFFICER, PRESIDENT direct 2013-03-01
MILLER, STEVEN, K. DIRECTOR 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2012-10-01
HAMILTON, WILLIAM DIRECTOR 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2014-09-01
WOODRUFF, MARK, THOMPSON DIRECTOR 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2006-01-01
Jeffreys, Nicole, D. DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2017-01-01
Bailey, John, C. DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2016-01-01
Howell, Elizabeth, F. DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2017-01-01
NEWTON, MATTHEW, TYLER DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2018-01-01
Weeks, Howard, R DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2018-01-01

UMA FINANCIAL SERVICES INC

ownership team - last updated 2018-12-05
Name Title Start Date Direct/Indirect % Ownership
UTAH MEDICAL ASSOCIATION SHAREHOLDER 09/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC SHAREHOLDER direct 1993-09-01
UMA FINANCIAL & INSURANCE SERVICES INC 501(C)(6) direct 1993-09-01 2010-03-30
UMA FINANCIAL SERVICES INC SOLE OWNER direct 1993-09-01 2014-03-31
MICHELLE, MCOMBER DIRECTOR 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2005-01-01
UMA FINANCIAL SERVICES INC DIRECTOR direct 2009-09-01
ZESIGER, JEFFREY, DELL CHIEF COMPLIANCE OFFICER, PRESIDENT 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC PRESIDENT direct 2013-03-01
UMA FINANCIAL SERVICES INC CHIEF COMPLIANCE OFFICER, PRESIDENT direct 2013-03-01
MILLER, STEVEN, K. DIRECTOR 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2012-10-01
HAMILTON, WILLIAM DIRECTOR 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2014-09-01
WOODRUFF, MARK, THOMPSON DIRECTOR 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2006-01-01
Jeffreys, Nicole, D. DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2017-01-01
Bailey, John, C. DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2016-01-01
Howell, Elizabeth, F. DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2017-01-01
NEWTON, MATTHEW, TYLER DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2018-01-01
Weeks, Howard, R DIRECTOR 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2018-01-01

UMA FINANCIAL SERVICES INC

ownership team - last updated 2017-04-26
Name Title Start Date Direct/Indirect % Ownership
ZESIGER, JEFFREY, DELL CHIEF COMPLIANCE OFFICER, PRESIDENT 03/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC PRESIDENT direct 2013-03-01
UMA FINANCIAL SERVICES INC CHIEF COMPLIANCE OFFICER, PRESIDENT direct 2013-03-01
UTAH MEDICAL ASSOCIATION SHAREHOLDER 09/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC SHAREHOLDER direct 1993-09-01
UMA FINANCIAL & INSURANCE SERVICES INC 501(C)(6) direct 1993-09-01 2010-03-30
UMA FINANCIAL SERVICES INC SOLE OWNER direct 1993-09-01 2014-03-31
MICHELLE, MCOMBER DIRECTOR 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2005-01-01
UMA FINANCIAL SERVICES INC DIRECTOR direct 2009-09-01
SORENSON, JOHN, LEON DIRECTOR 01/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2008-01-01
UMA FINANCIAL & INSURANCE SERVICES INC PRESIDENT direct 1993-09-01 2007-02-02
UMA FINANCIAL SERVICES INC DIRECTOR direct 2007-07-01 2008-02-22
UMA FINANCIAL SERVICES INC PRESIDENT direct 2009-03-01 2011-03-28
MILLER, STEVEN, K. DIRECTOR 10/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2012-10-01
HAMILTON, WILLIAM DIRECTOR 09/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2014-09-01
WOODRUFF, MARK, THOMPSON DIRECTOR 01/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2006-01-01
Jeffreys, Nicole, D. DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2017-01-01
Clayton, Paul, N. DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2016-01-01
Bailey, John, C. DIRECTOR 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2016-01-01
Howell, Elizabeth, F. DIRECTOR 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
UMA FINANCIAL SERVICES INC DIRECTOR direct 2017-01-01

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