UNION CAPITAL COMPANY
Adviser information for UNION CAPITAL COMPANY last updated from Form ADV on March 24th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 23 |
|---|---|
| Investment Advisory/Research | 14 |
| Registered Broker-Dealer Representatives | 20 |
| Registered State Investment Advisers | 14 |
| Licensed Agents of an Insurance Company | 11 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 77 | $34.0M |
| Non-Discretionary | 449 | $146.0M |
| Total | 526 | $180.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 502 | $143.0M |
| HNW Individuals | 24 | $37.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 526 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMCommissions |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-121320 |
|---|---|
| SEC ERA File Number | 801-121320 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110301 |
| Legal Entity Identifier | None |
Principal Office
6083 E. GRANT RD.TUCSON
AZ
United States
Monday - Friday, 9:00AM TO 2:00PM
Tel: 520-664-2001, Fax: 520-664-2002
Websites
Chief Compliance Officer
FRANK ALMADA
PRESIDENT, CCO
6083 E. GRANT RD.
TUCSON
AZ
United States
Tel:
520-664-2001
Fax:
520-664-2002
F******@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALMADA, FRANCISCO B | Individual | – | DP/FINOP/CHIEF COMPLIANCE OFFICER/PRESIDENT/SECRETARY/DIRECTOR | 12/1999 | < 5% |
| BODKIN, JOSEPH FRANCIS | Individual | – | DIRECTOR, DP | 10/2000 | < 5% |
| UNION CAPITAL HOLDINGS, CORP. | Domestic Entity | – | PARENT COMPANY/OWNER/SHAREHOLDER | 11/2002 | > 75% |
| ALMADA, FRANCISCO B | Individual | UNION CAPITAL HOLDINGS, CORP. | DIRECTOR/PRESIDENT/SECRETARY/SHAREHOLDER | 11/2002 | 50-75% |