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Asset manager · Miami, FL

Ucap Americas

Ucap Asset Management LLC · SEC-registered investment adviser · CRD 170846 · SEC 801-79625

At a glance

Ucap Americas is an SEC-registered investment adviser based in Miami, Florida, with $208 million in regulatory assets under management as of its Form ADV filed March 27, 2026. Its largest client group by assets is corporations or other businesses, and it reports 97 individual clients. By Form ADV it is a asset manager, ranked 2,096th of 3,218 asset managers and 12,049th of 17,210 SEC-registered advisers by assets.

Main office 646-809-3600ucapamericas.comLinkedInAs filed on Form ADV

Regulatory AUM
$208M
Rank among asset managers
#2,096 of 3,218
Rank among all SEC RIAs
#12,049 of 17,210
Rank in Florida
#736 of 1,090
Individual clients
97
High-net-worth clients
88
Accounts
184
Discretionary
86% of AUM
Employees
14
Advisory staff
7
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

2 custodians

  1. Stonex Financial$150M83%
  2. Charles Schwab$30M17%

Other RIAs using Stonex FinancialOther multi-custodian RIAs

Broker-dealer

Hybrid RIA

Ucap Americas is a hybrid RIA: 9 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Ucap Bahamas LTD, Ucap Securities (HK) Limited and Ucap Securities LLC.

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
Corporations or other businesses92$144M69%
High-net-worth individuals88$62M30%
Individuals9$2M1%

Disciplinary disclosures

Ucap Americas reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Portfolio management for individuals and small businesses
  • Portfolio management for businesses and institutions
  • Pension consulting
  • Selecting other advisers
  • Other services

How it’s paid

  • A percentage of assets under management
  • Other

Form ADV and brochures on the SEC’s adviser search ↗ucapamericas.com ↗

AtlasMembers

The full record on Ucap Americas

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, ten years of filings
Locked
Growth over one, three and five years
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Rank against 813 peers of its type and size
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Owners and executives, with titles and stakes
3 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
1Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Ucap Americas manage?

Ucap Americas reports $208 million in regulatory assets under management across 184 accounts, 86% of it on a discretionary basis, on its Form ADV filed March 27, 2026.

What kind of firm is Ucap Americas?

Ucap Americas is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. It reports a bank or thrift among its related persons.

Who are Ucap Americas’s clients?

By assets, its largest client types are corporations or other businesses ($144 million, 92 clients); high-net-worth individuals ($62 million, 88 clients); individuals ($2 million, 9 clients).

Does Ucap Americas have any disciplinary history?

Ucap Americas reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.

Where these numbers come from

Every figure is Ucap Americas’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-27), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →