← Tributary

UNION CAPITAL COMPANY

TUCSON, AZ · CRD 110301 · IAPD ↗ · unioncapital.com · 520-664-2001

$150.0MRegulatory AUM
11Advisory reps
13Employees
378Clients
n/aPlanning clients
0Private funds
16States
3Disclosures
wealthSegment
ApprovedSEC status

Filing changes

50
September 2026 — UNION CAPITAL COMPANY's Item 11 disclosure-reporting entries rose by 1 (2 -> 3).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
50
January 2025 — UNION CAPITAL COMPANY's Item 11 disclosure-reporting entries rose by 1 (1 -> 2).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
50
April 2024 — UNION CAPITAL COMPANY shrank from 18 to 14 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
60
April 2024 — UNION CAPITAL COMPANY reported RAUM up 29% ($140.0M -> $180.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.