SEC-registered wealth management firm Broker-dealer affiliated
Union Capital Company
As of its Form ADV filed August 27, 2026, Union Capital Company, an SEC-registered, broker-dealer affiliated wealth management firm in Tucson, Arizona, reported $150.0 million in regulatory assets under management across 414 accounts, ranking #135 among all wealth firms in Arizona by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 110301
- SEC file number
- 801-121320
- Registered since
- May 26, 2021
- Latest Form ADV filing
- August 27, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $150.0 million
- Discretionary
- $3.0 million (2.0%)
- Non-discretionary
- $147.0 million
- Accounts
- 414 (14 discretionary)
- Clients
- 792, approximate as reported
- Employees
- 13
- Advisory staff
- 11 performing investment advisory functions
- Average account
- $362,319
- Asset growth, 1 year
- -15.3% (from $177.0 million a year earlier)
- Asset growth, 3-year annual rate
- 2.3% (from $140.0 million three years earlier)
- Asset growth, 5-year annual rate
- 4.4% (from $121.0 million five years earlier)
- Client growth, 1 year
- -23.4% (from 1,034)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 4, 2021 | $121.0 million |
| October 3, 2022 | $151.0 million |
| October 5, 2023 | $140.0 million |
| October 1, 2024 | $180.0 million |
| September 2, 2025 | $177.0 million |
| October 2, 2026 | $150.0 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 26 clients | $77.0 million | |
| Individuals (other than high net worth) 388 clients | $73.0 million |
How the firm is paid
- A percentage of assets under management
- Commissions
Advisory services
- Portfolio management for individuals or small businesses
- Selection of other advisers
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 9
- Also registered through a broker-dealer
- 8
- Employees who are IARs (Form ADV 5.B(3))
- 12
Between 3 and 9 of the firm's 9 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 3 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Arizona
| Firm | City | RAUM |
|---|---|---|
| Sierra Legacy Group | Scottsdale | $152.7 million |
| Prosper Private Wealth | Mesa | $150.8 million |
| CSP Financial Group LLC | Scottsdale | $150.6 million |
| Optima Capital Management | Tempe | $150.3 million |
| CMG Financial Consulting | Scottsdale | $149.6 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Union Capital Company on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.unioncapital.com
- Wealth management firms in Arizona
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.