DFX Intelligence

RIA Intelligence

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SEC-registered adviser

U•••• C•••••• A••••••••• L•••

Asset manager (funds and pooled vehicles)Greenwich, ConnecticutCRD 285154SEC 801-108426website IAPD

Latest filing Mar 27, 2026

First filing on the tape Sep 13, 2016 · 13 filings

SEC status approved since Oct 6, 2016

RAUM

$722M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

26 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM$722M as of Mar 27, 2026

Mar 31, 2017$106M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 31, 20170 then

Employees (5.A)28 as of Mar 27, 2026

Mar 31, 20179 then

Private funds5 as of Mar 27, 2026

Mar 31, 20171 then

RAUM +3.9% over the last fiscal year-3.3% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 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: $144MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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: +3.9%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 assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $722M, 5 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$722M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $722M for 5 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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

Every departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
U•••• C•••••• E••••• P••••••• I•• L•	Private Equity Fund	$633M	36	Dec 23, 2016
U•••• C•••••• E••••• P••••••• I••• L•	Private Equity Fund	$267M	25	Mar 31, 2022
U•••• C•••••• E••••• P••••••• I••••• L•	Private Equity Fund	$97.1M	20	Mar 31, 2022

Owners and control persons

Schedule A and B, latest filing

A•••••• R•••• L••••• · Partnercontrol
since 04/2016 · owns 25% to 50%
D••••••••• K••••• G••••• · Cco And Coocontrol
since 04/2016 · owns less than 5%
L•••••••• J••• F••••••• · Partnercontrol
since 04/2016 · owns 25% to 50%
O••••• W••••••• S••••••• · Partnercontrol
since 04/2016 · owns 25% to 50%
S•••••• M••••••• J••••• · Vice President - Financecontrol
since 09/2017 · owns less than 5%
A•••••• R•••• L••••• · Membercontrol
since 04/2016 · owns 25% to 50% of U•••• C•••••• A••••••••• G•• L••
L•••••••• J••• F••••••• · Membercontrol
since 04/2016 · owns 25% to 50% of U•••• C•••••• A••••••••• G•• L••
O••••• W••••••• S••••••• · Membercontrol
since 04/2016 · owns 25% to 50% of U•••• C•••••• A••••••••• G•• L••

Entity owners

U•••• C•••••• A••••••••• G•• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

U•••• C•••••• E••••• P••••••• I• G•• L•••
pooled vehicle sponsorn
U•••• C•••••• E••••• P••••••• I•• G•• L•••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

Downers Grove, IL1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

private fund count surgeChange between filings · filing Mar 27, 2026
private funds (Schedule D 7.B.1) moved from 3.0 to 5.0 (+67.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was 0.0% (489 comparable advisers, 96.0th percentile of changes)
peers: asset managers, $500M to $1B (489) · 96% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 3 to 5
Mar 28, 2025 to Mar 27, 2026
Advisory employees · 22 to 26
Mar 28, 2025 to Mar 27, 2026
Pooled vehicle clients · 3 to 5
Mar 28, 2025 to Mar 27, 2026
Assets in custody · $695M to $722M
Mar 28, 2025 to Mar 27, 2026
Employees · 24 to 28
Mar 28, 2025 to Mar 27, 2026
Private funds · 3 to 5
Mar 28, 2025 to Mar 27, 2026
Discretionary RAUM · $695M to $722M
Mar 28, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $695M to $722M
Mar 28, 2025 to Mar 27, 2026
RAUM · $695M to $722M
Mar 28, 2025 to Mar 27, 2026
Assets in custody · $997M to $695M
Mar 28, 2024 to Mar 28, 2025
Employees · 23 to 24
Mar 28, 2024 to Mar 28, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 28, 2025
Discretionary RAUM · $997M to $695M
Mar 28, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $997M to $695M
Mar 28, 2024 to Mar 28, 2025
RAUM · $997M to $695M
Mar 28, 2024 to Mar 28, 2025
Advisory employees · 19 to 22
Mar 30, 2023 to Mar 28, 2024
Assets in custody · $798M to $997M
Mar 30, 2023 to Mar 28, 2024
Employees · 20 to 23
Mar 30, 2023 to Mar 28, 2024
Discretionary RAUM · $798M to $997M
Mar 30, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $798M to $997M
Mar 30, 2023 to Mar 28, 2024
RAUM · $798M to $997M
Mar 30, 2023 to Mar 28, 2024
Advisory employees · 18 to 19
Mar 31, 2022 to Mar 30, 2023
Assets in custody · $659M to $798M
Mar 31, 2022 to Mar 30, 2023
Employees · 19 to 20
Mar 31, 2022 to Mar 30, 2023
Discretionary RAUM · $659M to $798M
Mar 31, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $659M to $798M
Mar 31, 2022 to Mar 30, 2023
RAUM · $659M to $798M
Mar 31, 2022 to Mar 30, 2023
Accounts · 1 to 3
Mar 26, 2021 to Mar 31, 2022
Advisory employees · 17 to 18
Mar 26, 2021 to Mar 31, 2022
Pooled vehicle clients · 1 to 3
Mar 26, 2021 to Mar 31, 2022
Assets in custody · $263M to $659M
Mar 26, 2021 to Mar 31, 2022
Employees · 18 to 19
Mar 26, 2021 to Mar 31, 2022
Private funds · 1 to 3
Mar 26, 2021 to Mar 31, 2022
Discretionary RAUM · $263M to $659M
Mar 26, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $263M to $659M
Mar 26, 2021 to Mar 31, 2022
RAUM · $263M to $659M
Mar 26, 2021 to Mar 31, 2022
Advisory employees · 14 to 17
Mar 23, 2020 to Mar 26, 2021
Assets in custody · $0 to $263M
Mar 23, 2020 to Mar 26, 2021
Employees · 15 to 18
Mar 23, 2020 to Mar 26, 2021
Discretionary RAUM · $230M to $263M
Mar 23, 2020 to Mar 26, 2021

Signals

4 dated events

U•••• C•••••• A••••••••• L••• reported RAUM $694.5M, down 30% from $997.0M (2024-03-28 to 2025-03-28)
Mar 28, 2025 · RAUM change · derived
U•••• C•••••• A••••••••• L••• reported RAUM $659.3M, up 151% from $262.6M (2021-03-26 to 2022-03-31)
Mar 31, 2022 · RAUM change · derived
J••••• M•••••• S••••• (Vice President - Finance) appeared on Schedule A of U•••• C•••••• A••••••••• L•••
Mar 23, 2020 · Control person joined · fact
U•••• C•••••• A••••••••• L••• filed its initial SEC registration (Form ADV)
Sep 13, 2016 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

U•••• C•••••• A••••••••• L••• · Independent Sponsors
shared crd · capital_provider
U•••• C•••••• A••••••••• L••• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/unioncapitalassociatesllcreportedpublic record, Form ADV, Sep 21, 2026
Website: U••••CAPITALASSOCIATES.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (203) 580-5740reportedpublic 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: Asset manager (funds and pooled vehicles)deriveda 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