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.
SEC-registered adviser
Ucap Americas
Legal name Ucap Asset Management LLC
Latest filing Mar 27, 2026
First filing on the tape Apr 11, 2014 · 50 filings
SEC status approved since May 6, 2014
RAUM
$208M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
31%
$64.6M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$20.8M
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$208M as of Mar 27, 2026
Mar 31, 2015$30.0M then
HNW client RAUM$62.2M as of Mar 27, 2026
Apr 1, 2019$11.2M then
State-registered IARs (5.B.3)9 as of Mar 27, 2026
Mar 31, 20151 then
Employees (5.A)14 as of Mar 27, 2026
Mar 31, 20152 then
Private funds: no history
RAUM +25% over the last fiscal year+3.1% a year over threeIARs 7 to 9
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $20.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $706,436derivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.0%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$144M69%
- High-net-worth individuals$62.2M30%
- Individuals$2.4M1.2%
- Individual clients
- 9reported
- HNW clients
- 88reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 184reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.31 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=9.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Emmanuel M Casuscelli | Miami, Fl | Mar 5, 2019 | 15 y | 1 |
| Susan Disdier | Miami, Fl | Jul 22, 2021 | 14 y | 3 |
| Ana Maria Parra | Miami, Fl | Aug 31, 2021 | 17 y | 4 |
| Francisco Miguel De La Camara | Miami, Fl | Oct 6, 2021 | 36 y | 2 |
| Alma Estrada | Miami, Fl | Oct 27, 2021 | 23 y | 2 |
| Miguel Luis Ortiz | Miami, Fl | Jul 25, 2022 | 26 y | 5 |
| Lourdes Marina Zaldana | Miami, Fl | Aug 22, 2023 | 14 y | 1 |
| Luis Enrique Jocelyn-Holt | Miami, Fl | Jul 18, 2025 | 17 y | 1 |
| Gustavo Adolfo Sr Gelvez | Miami, Fl | Nov 20, 2025 | 21 y | 0 |
| George Gandarias | Miami, Fl | Jan 29, 2026 | 26 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Robert David Haggard to Apollon Wealth Management, LLCOct 3, 2024 · RIA to RIA
- James Michael Jiao to Insigneo Advisory Services, LLCDec 31, 2022 · RIA to RIA
- Iris Sanguinetti to Consultiva Wealth Management, Corp.Jul 19, 2022 · Other
- Oscar David Flores De Valgaz to Legado Wealth Management LLCAug 12, 2021 · Other
- Gino Russo to Northwestern Mutual Investment Services,LLCMar 16, 2021 · Other
- Aroldo Balbino to Citigroup Global Markets Inc.Jan 22, 2021 · RIA to affiliated broker-dealer or bank
- Dmitri Victor Efimov to Consultiva Wealth Management, Corp.Nov 11, 2020 · Other
- Luis Jacob Alayo Riera to The Atlas Financial GroupJul 10, 2020 · RIA to RIA
- Juan Felipe Rodriguez Osorio to Compass Group Investments Solutions LLCApr 3, 2020 · RIA to RIA
- Juan Manuel Doria to Mora Capital Management, LLCJun 21, 2018 · RIA to RIA
- Nicholas Patrick Salas to Bci Securities, Inc.Dec 31, 2017 · Other
Joined, latest
- George Gandarias from Efg Private Wealth Management (Americas) Corp.Jan 29, 2026 · RIA to RIA
- Luis Enrique Jocelyn-Holt from Insigneo Advisory Services, LLCJul 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- Lourdes Marina Zaldana from Morgan StanleyAug 22, 2023 · Wirehouse to independent RIA
- Miguel Luis Ortiz from Efg Capital International Corp.Jul 25, 2022 · Other
- Alma Estrada from Wells Fargo AdvisorsOct 27, 2021 · Wirehouse to independent RIA
- Francisco Miguel De La Camara from Wells Fargo AdvisorsOct 6, 2021 · Wirehouse to independent RIA
- Ana Maria Parra from Insigneo Advisory Services, LLCAug 31, 2021 · RIA to RIA
- Susan Disdier from Wells Fargo AdvisorsJul 22, 2021 · Wirehouse to independent RIA
- Aroldo Balbino from UBS Financial Services Inc.Oct 8, 2020 · Wirehouse to independent RIA
- Luis Jacob Alayo Riera from Sb Advisory, LLCSep 17, 2019 · Affiliated broker-dealer or bank to independent RIA
- Iris Sanguinetti from Insight Securities, Inc.May 28, 2019 · RIA to RIA
- Dmitri Victor Efimov from Leucadia Asset Management LLCMay 17, 2019 · Other
- Emmanuel M Casuscelli from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 5, 2019 · Wirehouse to independent RIA
- Oscar David Flores De Valgaz from Insight Securities, Inc.Oct 3, 2018 · Other
- Juan Manuel Doria from Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 7, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 14, 2017 · Miami, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Sixto Campano · Ceocontrolsince 11/2020 · owns less than 5%
- Dinah Caratini · Chief Compliance Officercontrolsince 07/2021 · owns less than 5%
- Carlos Juan Massens · Coocontrolsince 01/2021 · owns less than 5%
- Damon Lawrence Howell · Ownercontrolsince 01/2022 · owns F of Holdco Ldh LLC
Entity owners
- Union Capital Group USA LLC · Sole Member/Ownerdirect · owns 75% or more
- Holdco Ldh LLC · Ownerindirect · owns 75% or more of Union Capital Group USA LLC
Related persons
Schedule D 7.A
- Capital Union Bank Ltdcustodiann
- Lake Geneva Investment Partnersinvestment advisern
- Premium Life Insurance Ltd.real estaten
- Ucap Am Pte Ltd.( Singapore)investment advisern
- Ucap Asset Management (Uk) Ltdinvestment advisern
- Ucap Bahamas Ltdbroker-dealerinvestment advisern
- Ucap Hong Kong Asset Managementinvestment advisern
- Ucap Securities (Hk) Limitedbroker-dealern
- Ucap Securities LLCbroker-dealern
- Union Capital Asset Management (Taiwan) Co. Ltdinvestment advisern
Advisers that list Ucap Americas as a related person
- 301044 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 10 | 2 | 0 | ||
| Altlanta, Ga | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 178 to 184Jun 10, 2025 to Mar 27, 2026
- BD registered reps · 7 to 9Jun 10, 2025 to Mar 27, 2026
- Corporate clients · 78 to 92Jun 10, 2025 to Mar 27, 2026
- HNW clients · 67 to 88Jun 10, 2025 to Mar 27, 2026
- Individual clients · 33 to 9Jun 10, 2025 to Mar 27, 2026
- Employees · 10 to 14Jun 10, 2025 to Mar 27, 2026
- State-registered IARs · 7 to 9Jun 10, 2025 to Mar 27, 2026
- Discretionary RAUM · $139M to $179MJun 10, 2025 to Mar 27, 2026
- HNW RAUM · $59.8M to $62.2MJun 10, 2025 to Mar 27, 2026
- Individual RAUM · $4.4M to $2.4MJun 10, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $26.6M to $29.5MJun 10, 2025 to Mar 27, 2026
- RAUM · $166M to $208MJun 10, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 26, 2025 to Jun 10, 2025
- Accounts · 222 to 178Sep 27, 2024 to Mar 26, 2025
- Corporate clients · 41 to 78Sep 27, 2024 to Mar 26, 2025
- HNW clients · 104 to 67Sep 27, 2024 to Mar 26, 2025
- Individual clients · 77 to 33Sep 27, 2024 to Mar 26, 2025
- Employees · 12 to 10Sep 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $164M to $139MSep 27, 2024 to Mar 26, 2025
- HNW RAUM · $98.6M to $59.8MSep 27, 2024 to Mar 26, 2025
- Individual RAUM · $15.2M to $4.4MSep 27, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $1.2M to $26.6MSep 27, 2024 to Mar 26, 2025
- RAUM · $165M to $166MSep 27, 2024 to Mar 26, 2025
- Advisory activities · 6 to 5Aug 8, 2024 to Aug 23, 2024
- Business name · UCAPAMERICAS to UCAP AMERICASMar 15, 2024 to Aug 8, 2024
- Accounts · 258 to 222Jan 10, 2024 to Mar 15, 2024
- Advisory employees · 9 to 7Jan 10, 2024 to Mar 15, 2024
- BD registered reps · 11 to 7Jan 10, 2024 to Mar 15, 2024
- Corporate clients · 85 to 41Jan 10, 2024 to Mar 15, 2024
- HNW clients · 64 to 104Jan 10, 2024 to Mar 15, 2024
- Individual clients · 110 to 77Jan 10, 2024 to Mar 15, 2024
- State-registered IARs · 9 to 7Jan 10, 2024 to Mar 15, 2024
- Discretionary RAUM · $188M to $164MJan 10, 2024 to Mar 15, 2024
- HNW RAUM · $74.5M to $98.6MJan 10, 2024 to Mar 15, 2024
- Individual RAUM · $21.4M to $15.2MJan 10, 2024 to Mar 15, 2024
- Non-discretionary RAUM · $2.4M to $1.2MJan 10, 2024 to Mar 15, 2024
- RAUM · $190M to $165MJan 10, 2024 to Mar 15, 2024
- Accounts · 286 to 258Dec 21, 2022 to Mar 31, 2023
- Advisory employees · 10 to 9Dec 21, 2022 to Mar 31, 2023
- BD registered reps · 13 to 11Dec 21, 2022 to Mar 31, 2023
Signals
10 dated events
- Robert David Haggard left Ucap Americas for Apollon Wealth Management, Llc (registered 2024-09-18)Oct 3, 2024 · Advisor changed firm · fact
- James Michael Jiao left Ucap Americas for Insigneo Advisory Services, Llc (registered 2023-01-04)Dec 31, 2022 · Advisor changed firm · fact
- Iris Sanguinetti left Ucap Americas for Consultiva Wealth Management, Corp. (registered 2022-08-02)Jul 19, 2022 · Advisor changed firm · fact
- Ucap Americas reported RAUM $284.4M, up 84% from $154.8M (2021-11-15 to 2022-03-16)Mar 16, 2022 · RAUM change · derived
- Allan David Wasitowski (Cco) no longer on Schedule A of Ucap Americas (listed 2021-06-10, absent 2021-07-22)Jul 22, 2021 · Control person left · inference
- Dinah Caratini (Chief Compliance Officer) appeared on Schedule A of Ucap AmericasJul 22, 2021 · Control person joined · fact
- Carlos Juan Massens (Coo) appeared on Schedule A of Ucap AmericasMar 31, 2021 · Control person joined · fact
- Alfonso Luis Marino (Ceo) no longer on Schedule A of Ucap Americas (listed 2020-10-08, absent 2020-12-01)Dec 1, 2020 · Control person left · inference
- Sixto Campano (Ceo) appeared on Schedule A of Ucap AmericasDec 1, 2020 · Control person joined · fact
- Ucap Asset Management Llc filed its initial SEC registration (Form ADV)Apr 11, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/union-capital-group-usa-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- UCAPAMERICAS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 646-809-3600reportedpublic record, Form ADV, Mar 27, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $20.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026