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UCAP AMERICAS

MIAMI, FL · CRD 170846 · IAPD ↗ · 646-809-3600

$208.2MRegulatory AUM
7Advisory reps
14Employees
0Clients
0Planning clients
0Private funds
12States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
April 2026 — UCAP AMERICAS reported RAUM up 25% ($165.9M -> $208.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
42
September 2024 — UCAP AMERICAS notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
April 2024 — UCAP AMERICAS shrank from 9 to 7 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2024 — UCAPAMERICAS is now doing business as UCAP AMERICAS.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM

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