SourcingSourcing

UNION CAPITAL COMPANY

B59
CRD 110301·SEC 801-121320·TUCSON, AZ
AUM
$150.0M
$100M-$500M
Est. Revenue
$1.5M
@ 1% on AUM
Est. EBITDA
$450K
@ 30% margin
Est. Deal Value
$3.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
UNION CAPITAL COMPANY
CRD
110301
SEC file #
801-121320
EIN
208680047
DBA names
—

Economics

AUM
$150.0M
AUM band
$100M-$500M
AUM trajectory
'22'26
$121.0M → $150.0M▲ +24%
Client mix
Individuals Other388
Individuals High Net Worth26

Operations

Employees (total)
13
Advisory staff (per ADV)
11
Advisory staff (5-yr trend)
'22'26
16 advisors → 11 advisors▼ -31%
Primary office
TUCSON AZ
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsSelection of other advisers
Fee basis
% of AUMCommissions

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
unioncapital.com

Compliance

Disclosures (firm)
2
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
UNION CAPITAL HOLDINGS, CORP.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
UNION CAPITAL HOLDINGS, CORP.
ALMADA, FRANCISCO B
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
UNIONCAPITAL.COM
Rdap Domain Creation Date
2002-01-05T17:33:17Z
Rdap Firm Age Years
24
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
217,000
Form 5500 Compensation Trajectory 3y
2025217,000
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
217,000
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001457315
Edgar Registered
Yes
Edgar Filing Count
4
Edgar First Filing Date
2009-03-05
Edgar Last Filing Date
2010-05-13
Edgar Form D Count
4
Edgar Form D Offerings
2010-05-132010-05-13 · 0001457315-10-000005
2010-03-182010-03-18 · 0001457315-10-000004

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
12
Bc Firm Active IA Count
12
Bc Firm IAR Count
13
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fidelity2
Edgar Addresses
Mailing
4900 NORTH SCOTTSDALE ROAD, SUITE 5000SCOTTSDALE, AZ 85251
Business
4900 NORTH SCOTTSDALE ROAD, SUITE 5000SCOTTSDALE, AZ 85251
Edgar EIN
208680047
Edgar Recent Filings
D/A2010-05-13 · 0001457315-10-000005
D/A2010-03-18 · 0001457315-10-000004
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2031-01-05T17:33:17Z
Rdap Domain Last Changed
2026-01-13T18:57:33Z
Rdap Nameservers
Ns59.worldnic.comNs60.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (13)

13
ALMADA, FRANCISCO, B
IAR · Executive Officer · 2.5%
1575694
BODKIN, JOSEPH FRANCIS
IAR · Executive Officer · 2.5%
24606
LARRY ROY FRIEDENBERG
IAR
1413577
MAX JACK SAFDIE
IAR
408921
JOSEPH EBERLE
IAR
1685607
KEVIN MICHAEL BROWN
IAR
1240188
Samuel David Almada
IAR
7395719
Edward Thomas Carpenter
IAR
2172969
RICHARD BRUCE SLADEK
IAR
426080
ROBERT CHARLES ZIMMERMAN
IAR
869136
GARY R GYGI
IAR
1577760
STEVEN RAND HILL
IAR
4288639
NOEMI LOPEZ ORTEGA
IAR
2486499