UCAP Asset Management provides portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.
UCAP Asset Management reports 189 clients. They include 92 corporations and other businesses, 88 high-net-worth individuals, and 9 individual clients. Of its assets, 85.8% ($179M across 168 accounts) are managed with discretion; $29.5M across 16 accounts are not. Of its clients, 67% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 5% | 1% |
| High-net-worth individuals | 47% | 30% |
| Corporations and other businesses | 49% | 69% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 9 | $2.45M | 1.2% | $272K |
| High-net-worth individuals | 88 | $62.2M | 29.9% | $706K |
| Corporations and other businesses | 92 | $144M | 69.0% | $1.56M |
| Total | 189 | $208M | 100% | $1.1M |
- Clients
- 9
- Regulatory AUM
- $2.45M
- AUM share
- 1.2%
- Avg. per client
- $272K
- Clients
- 88
- Regulatory AUM
- $62.2M
- AUM share
- 29.9%
- Avg. per client
- $706K
- Clients
- 92
- Regulatory AUM
- $144M
- AUM share
- 69.0%
- Avg. per client
- $1.56M
Total
- Clients
- 189
- Regulatory AUM
- $208M
- AUM share
- 100%
- Avg. per client
- $1.1M
- Clients outside the U.S.
- 67%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
UCAP Asset Management is paid through a percentage of assets under management and other compensation; its fees and minimums are set out in its brochures on the SEC website.
Union Capital Group USA LLC owns 75% or more of UCAP Asset Management and is in turn owned by Holdco LDH LLC (75% or more). The leadership team of UCAP Asset Management includes Chief Compliance Officer Dinah Caratini. It has 14 employees, 7 of them in advisory roles.
Leadership
- Dinah CaratiniChief Compliance Officer
- Sixto CampanoCEO
- Juan MassensCOO
Investment adviser representatives
10 representatives listed in the SEC register as of 9 October 2026.
- Emmanuel M Casuscelli
- Francisco Miguel De La Camara
- Susan Disdier
- Alma Estrada
- George Gandarias
- Gustavo Adolfo SR Gelvez
- Luis Enrique Jocelyn-Holt
- Miguel Luis Ortiz
- Ana Maria Parra
- Lourdes Marina Zaldana
Staff
- 14 employees
- 7 in advisory functions
- 9 state-registered reps
- 9 broker-dealer reps
- 1 insurance agent
- 4 soliciting firms
- Owns 75% or more of Ucap Asset Management LLC
Union Capital Group USA LLC
Control person · since March 2015
- Owns 75% or more of Union Capital Group USA LLC
Holdco LDH LLC
Control person · since January 2022
Lawrence Howell
Owner · Control person · since January 2022
UCAP Asset Management’s regulatory assets grew from $155M (July 2021) to $208M (March 2026); clients fell from 210 to 189 and employees from 15 to 14. In 2020, Adi Dassler Family Office joined it.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $208M | 189 | 14 | 1 |
| June 2025 | $166M | 178 | 10 | 1 |
| March 2024 | $165M | 222 | 12 | 1 |
| July 2023 | $190M | 259 | 12 | 1 |
| July 2022 | $284M | 286 | 14 | 2 |
| July 2021 | $155M | 210 | 15 | 2 |
Firms that joined
20201 joined
- Adi Dassler Family OfficeNo filed AUM
Firms whose SEC withdrawal reports a sale to this firm, and deals reported in the press. Teams that moved without selling a registered firm may not appear.
Besides its headquarters, UCAP Asset Management has 0 offices, with 1 listed address in Florida.
Florida · 1 listed address
- 1221 Brickell Avenue, Suite 2040, MiamiHQ
Other business names
UCAP Asset Management has reported 1 other business name to the SEC.
- Ucap Americas
Contact and registration details
- Legal name
- Ucap Asset Management LLC
- Headquarters
- 1221 Brickell Avenue, Suite 2040, Miami, FL 33131
- Website
- ucapamericas.com
- Phone
- 646-809-3600
- SEC file
- 801-79625
- Structure
- Delaware LLC
- Fiscal year end
- December
UCAP Asset Management uses Stonex Financial ($150M, 83%) and Charles Schwab ($30.4M, 17%) as custodians for its separately managed accounts. UCAP Asset Management has custody of client assets.
- Stonex FinancialStonex Financial Inc. · Birmingham, AL · $150M83%
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $30.4M17%
At year end, UCAP Asset Management’s separately managed accounts were largely in bonds (47%) and stocks (34%).
What the accounts hold
- Stocks34%
- Funds15%
- Bonds47%
- High-yield corporate bonds22%
- U.S. government and agency bonds15%
- Investment grade corporate bonds9%
- Sovereign bonds1%
- Cash4%
How many clients does UCAP Asset Management have?
UCAP Asset Management has 189 clients and manages $208 million for them, as of March 2026. They include 92 corporations and other businesses, 88 high-net-worth individuals, and 9 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026
What services does UCAP Asset Management offer?
UCAP Asset Management provides portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does UCAP Asset Management use?
UCAP Asset Management’s separately managed account assets are held at Stonex Financial Inc. (Birmingham, AL), with $150M and Charles Schwab & Co., Inc. (San Francisco, CA), with $30.4M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026
How many financial advisors does UCAP Asset Management have?
UCAP Asset Management has 9 investment adviser representatives registered with state securities authorities, out of 14 employees, and 7 perform investment advisory functions. 9 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does UCAP Asset Management invest in?
At the end of its last fiscal year, UCAP Asset Management’s separately managed accounts held 34% exchange-traded equities, 22% high-yield corporate bonds, 15% U.S. government and agency bonds, 15% registered funds (mutual funds, ETFs, BDCs), 9% investment grade corporate bonds, 4% cash and equivalents and 1% sovereign bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns UCAP Asset Management?
UCAP Asset Management’s direct owner is Union Capital Group USA LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 27 March 2026
How does UCAP Asset Management get paid?
UCAP Asset Management is paid through a percentage of assets under management and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact UCAP Asset Management?
UCAP Asset Management’s main office is at 1221 Brickell Avenue, Suite 2040, Miami, FL 33131. Its phone number is 646-809-3600. Its website is ucapamericas.com.