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UNION CAPITAL COMPANY
CRD 110301File 801-121320
APPROVED
Retail clients
Disclosure events
Filing as of Aug 27, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$150.0M
Bottom 25% of cohort (national)
Discretionary AUM
$3.0M
Non-discretionary $147.0M
Clients
414
414 accounts
Employees
13
Bottom 25% of cohort in AZ
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- May 26, 2021
- Principal office
- 6083 E. GRANT RD., TUCSON, AZ, 85712
- Phone
- 520-664-2001
- Website
- HTTP://WWW.UNIONCAPITAL.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $150.0M
- Discretionary AUM
- $3.0M
- Non-discretionary AUM
- $147.0M
- Discretionary accounts
- 14
- Non-discretionary accounts
- 400
- Total accounts
- 414
- AUM per client
- $362K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 26 | $77.0M |
| Individuals (other than high net worth individuals) | 388 | $73.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Commissions
- A percentage of assets under your management
Advisory activities
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11G
- Q11D2
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 17 | 13 | decreased by4 |
| Apr 1, 2026 | Clients | 517 | 414 | decreased by103 |
| Apr 1, 2026 | AUM | $177,000,000 | $150,000,000 | decreased by$27,000,000 |
| Apr 1, 2026 | Accounts | 517 | 414 | decreased by103 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 27 | 17 | decreased by10 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 519 | 517 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $151,000,000 | $177,000,000 | increased by$26,000,000 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 529 | 517 | decreased by12 |
| Apr 1, 2022 | Clients | 370 | 519 | increased by149 |
| Apr 1, 2022 | AUM | $121,000,000 | $151,000,000 | increased by$30,000,000 |
| Apr 1, 2022 | Accounts | 370 | 529 | increased by159 |
| Jun 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “UNION CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“UNION CAPITAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.