DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
U••••• C••••••
Legal name U••••• C•••••• P••• L•••
Latest filing Mar 31, 2026
First filing on the tape Jun 29, 2018 · 11 filings
SEC status approved since Jul 27, 2018
RAUM
$53.5M
reported, Item 5.F
Discretionary
2.6%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$53.5M as of Mar 31, 2026
Mar 28, 2019$378M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20190 then
Employees (5.A)5 as of Mar 31, 2026
Mar 28, 20195 then
Private funds: no history
RAUM -68% over the last fiscal year-36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $17.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 2.6%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -68%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$53.5M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• H•••••• A•••••••• · Directorcontrolsince 01/2002 · owns less than 5%
- L••• S•••••• G••• L••• · Directorcontrolsince 04/2023 · owns less than 5%
- L••• A••••• · Directorcontrolsince 05/1999 · owns less than 5%
- L••• A••••• · Shareholdercontrolsince 07/2007 · owns 75% or more of L•• A••• A••••••• C•••••• I••
Entity owners
- U••••• C•••••• I•• L••• · Shareholderdirect · owns 75% or more
- L•• A••• A••••••• C•••••• I•• · Shareholderindirect · owns 75% or more of U••••• C•••••• I•• L•••
Related persons
Schedule D 7.A
- U••••• C•••••• E••••• P••••••• I••• L•••pooled vehicle sponsorn
- U••••• C••••••investment adviseryRAUM $53.5M
Advisers that list U••••• C•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $4.2M to $1.4MMar 24, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $164M to $52.1MMar 24, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $168M to $53.5MMar 24, 2025 to Mar 31, 2026
- RAUM · $168M to $53.5MMar 24, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 29, 2024 to Mar 24, 2025
- HQ state · unset to Mar 29, 2024 to Mar 24, 2025
- Discretionary RAUM · $4.6M to $4.2MMar 29, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $182M to $164MMar 29, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $186M to $168MMar 29, 2024 to Mar 24, 2025
- RAUM · $186M to $168MMar 29, 2024 to Mar 24, 2025
- Discretionary RAUM · $5.1M to $4.6MJun 6, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $203M to $182MJun 6, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $208M to $186MJun 6, 2023 to Mar 29, 2024
- RAUM · $208M to $186MJun 6, 2023 to Mar 29, 2024
- Discretionary RAUM · $6.7M to $5.1MApr 19, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $265M to $203MApr 19, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $272M to $208MApr 19, 2022 to Mar 27, 2023
- RAUM · $272M to $208MApr 19, 2022 to Mar 27, 2023
- Discretionary RAUM · $7.0M to $6.7MMar 31, 2022 to Apr 19, 2022
- Non-discretionary RAUM · $272M to $265MMar 31, 2022 to Apr 19, 2022
- Pooled vehicle RAUM · $279M to $272MMar 31, 2022 to Apr 19, 2022
- RAUM · $279M to $272MMar 31, 2022 to Apr 19, 2022
- Discretionary RAUM · $6.9M to $7.0MMar 30, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $271M to $272MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $277M to $279MMar 30, 2021 to Mar 31, 2022
- RAUM · $277M to $279MMar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $7.2M to $6.9MMar 30, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $280M to $271MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $288M to $277MMar 30, 2020 to Mar 30, 2021
- RAUM · $288M to $277MMar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $378M to $7.2MMar 28, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $0 to $280MMar 28, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $378M to $288MMar 28, 2019 to Mar 30, 2020
- RAUM · $378M to $288MMar 28, 2019 to Mar 30, 2020
- Employees · 6 to 5Jun 29, 2018 to Mar 28, 2019
- Discretionary RAUM · $728M to $378MJun 29, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $728M to $378MJun 29, 2018 to Mar 28, 2019
- RAUM · $728M to $378MJun 29, 2018 to Mar 28, 2019
Signals
5 dated events
- U••••• C•••••• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $53.5M)Jun 1, 2026 · Left the SEC roster · derived
- U••••• C•••••• reported RAUM $53.5M, down 68% from $168.4M (2025-03-24 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Geok Lian Sharon Lim (Director) appeared on Schedule A of U••••• C••••••Mar 29, 2024 · Control person joined · fact
- U••••• C•••••• reported RAUM $377.8M, down 48% from $727.5M (2018-06-29 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- U••••• C•••••• filed its initial SEC registration (Form ADV)Jun 29, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- U••••• C•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- U•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026