{"url":"https://nivawealth.com/firms/ucap-asset-management-170846","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/170846","regulatoryAum":208206707,"crd":"170846","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5036738","suffix":null,"lastName":"CASUSCELLI","firstName":"EMMANUEL","middleName":"M"},{"crd":"1447088","suffix":null,"lastName":"DE LA CAMARA","firstName":"FRANCISCO","middleName":"MIGUEL"},{"crd":"4203995","suffix":null,"lastName":"DISDIER","firstName":"SUSAN","middleName":null},{"crd":"4359708","suffix":null,"lastName":"ESTRADA","firstName":"ALMA","middleName":null},{"crd":"2083156","suffix":null,"lastName":"GANDARIAS","firstName":"GEORGE","middleName":null},{"crd":"4969375","suffix":null,"lastName":"GELVEZ","firstName":"GUSTAVO","middleName":"ADOLFO 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CA","smaAssets":30368040}],"custodyNote":"UCAP Asset Management has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Dinah Caratini","title":"Chief Compliance Officer","crd":"2757383"},{"name":"Sixto Campano","title":"CEO","crd":"1567239"},{"name":"Juan Massens","title":"COO","crd":"2802360"}],"ownership":[{"label":"Union Capital Group USA LLC","detail":"Sole member/owner in the 75% or more ownership band and a control person, since March 2015."},{"label":"Lawrence Howell","detail":"Indirect owner: owner of Holdco LDH LLC and a control person, since January 2022.","parent":"Holdco LDH LLC"},{"label":"Holdco LDH LLC","detail":"Indirect owner: a owner of Union Capital Group USA LLC in the 75% or more band and a control person, since January 2022.","parent":"Union Capital Group USA LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"1221 Brickell Avenue, Suite 2040","city":"Miami","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"646-809-3600","stateRegisteredReps":9,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":34},{"label":"U.S. government/agency bonds","percent":15},{"label":"Sovereign bonds","percent":1},{"label":"Investment grade corporate 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does UCAP Asset Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does UCAP Asset Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does UCAP Asset Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does UCAP Asset Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns UCAP Asset Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does UCAP Asset Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact UCAP Asset Management?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}