DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

MIGUEL LUIS ORTIZ

Advisor at UCAP AMERICAS

MIAMI, FL | Miami, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:bd555284-6835-490c-e20a-1f23c42da687

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 2, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UCAP AMERICAS
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 23, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 23, 1999
First registration: Aug 2, 2001
Dual registered: yes, broker-dealer
Other names: MIKE L ORTIZ
IAPD individual key: 2444975

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UCAP AMERICAS	Mixed wealth	Jul 25, 2022	n/a	yes	Miami, FL\|MIAMI, FL	Current employment
EFG CAPITAL INTERNATIONAL CORP.	Former SEC adviser	Apr 30, 2021	Jul 13, 2021	no	MIAMI, FL	Previous registration
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.	Mixed wealth	Nov 21, 2019	Jul 6, 2022	no	MIAMI, FL	Previous registration
EFG CAPITAL ADVISORS INC.	Former SEC adviser	Jun 12, 2014	Feb 22, 2019	no	MIAMI, FL	Previous registration
EFG CAPITAL ADVISORS LLC	Former SEC adviser	Nov 6, 2009	Oct 29, 2014	no	MIAMI, FL	Previous registration
INSIGNEO WEALTH ADVISORS, LLC	Former SEC adviser	Aug 2, 2001	Aug 15, 2008	no	MIAMI, FL\|MIAMI, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.	EFG CAPITAL INTERNATIONAL CORP.	Jul 6, 2022	Apr 30, 2021	-432	Firm change after gap	Other
EFG CAPITAL INTERNATIONAL CORP.	UCAP AMERICAS	Jul 13, 2021	Jul 25, 2022	377	Firm change	Other
EFG CAPITAL ADVISORS INC.	EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.	Feb 22, 2019	Nov 21, 2019	272	Firm change	RIA to RIA
EFG CAPITAL ADVISORS LLC	EFG CAPITAL ADVISORS INC.	Oct 29, 2014	Jun 12, 2014	-139	Channel change	Other
INSIGNEO WEALTH ADVISORS, LLC	EFG CAPITAL ADVISORS LLC	Aug 15, 2008	Nov 6, 2009	448	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
158905:40118:FL:2022-07-06	Jul 6, 2022	Apr 30, 2021	MIAMI, FL	Firm change after gap
112224:158905:FL:2019-02-22	Feb 22, 2019	Nov 21, 2019	MIAMI, FL	Firm change

Relationships

Registered with (6)

→ UCAP AMERICASRegistered adviserregistration: current employment
Jul 25, 2022 to presentfactForm ADV
→ EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.Registered adviserregistration: previous registration
Nov 21, 2019 to Jul 6, 2022factForm ADV
→ EFG CAPITAL INTERNATIONAL CORP.Registered adviserregistration: previous registration
Apr 30, 2021 to Jul 13, 2021factForm ADV
→ EFG CAPITAL ADVISORS INC.Registered adviserregistration: previous registration
Jun 12, 2014 to Feb 22, 2019factForm ADV
→ EFG CAPITAL ADVISORS LLCRegistered adviserregistration: previous registration
Nov 6, 2009 to Oct 29, 2014factForm ADV
→ INSIGNEO WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 2, 2001 to Aug 15, 2008factForm ADV

Dated events

Occurred
Jul 6, 2022
Advisor changed firm
Miguel Luis Ortiz left Efg Private Wealth Management (Americas) Corp. for Efg Capital International Corp. (registered 2021-04-30)
Form ADVobserved 4 days ago