UCAP Americas

What UCAP Americas does

UCAP Americas is a Miami-based private financial services firm and the U.S. operating entity of Union Capital Group (UCAP Group), an international alliance of banking, investment advisory, structured finance and brokerage firms serving sophisticated ultra-high-net-worth individuals, family offices and institutional investors. The company delivers securities brokerage through UCAP Securities, LLC (a FINRA-regulated broker-dealer) and investment advisory services through UCAP Asset Management, LLC (a SEC-registered investment adviser), using an advisory-led brokerage model that combines personalized portfolio construction with execution across global asset classes.

The firm's platform architecture is built around a multi-custodial framework, partnering with StoneX, Charles Schwab, Pershing, Morgan Stanley and Capital Union Bank to give clients freedom to diversify holdings across custodians. The broader group runs an Avaloq Core Platform with Web Banking for core banking and client engagement, achieving straight-through processing rates of up to 99%, and integrates Taurus digital-asset custody infrastructure (Taurus-PROTECT and Taurus-EXPLORER) supporting more than 15 blockchain protocols. Group-level AUM overseen by UCAP Bahamas Ltd exceeds $5bn, and the firm operates from approximately 11 cities including Miami, Nassau, Bermuda, London, Geneva, Zurich, Dubai, Abu Dhabi, Taipei, Hong Kong and Singapore.

UCAP Americas generates revenue through two streams: recurring investment advisory fees via UCAP Asset Management, LLC for bespoke portfolio construction, ongoing monitoring and risk management, and transaction-based brokerage commissions via UCAP Securities, LLC for execution across global asset classes. Go-to-market is sales-led and relationship-driven, executed through senior managing directors and managing directors supported by a B2B platform targeting RIAs, broker-dealers and family offices. Pricing is quote-based and not publicly disclosed, reflecting the bespoke nature of the service offering. The company is part of the privately held Union Capital Group, co-founded in 2011 by Lawrence D. Howell and Clement Ducasse.

Name

UCAP Americas

Legal name

UCAP Americas

Website

https://ucapamericas.com

Company type

Private

Founded year

2011

Operating status

Operating

Headcount range

11–50 employees

Short description

UCAP Americas is a Miami-based, FINRA- and SEC-regulated subsidiary of UCAP Group providing advisory-led brokerage and investment advisory services through a multi-custodial platform to high-net-worth and ultra-high-net-worth individuals, family offices, and institutional clients across the Americas and globally.

Ownership category

akta.pro rank

Product category

Wealth Management

NAICS

Portfolio Management and Investment Advice (523940), Securities and Commodity Contracts Intermediation and Brokerage (5231)

SIC

Investment Advice (6282), Security Brokers, Dealers & Flotation Companies (6211)

akta.pro primary industry

Broker-Dealer Affiliated Wealth Advisory (FSAEABAB)

akta.pro secondary industry

Full-Service Retail Brokerage & Wealth Platforms (FSAAAAAA)

Keywords

• Wealth management services
• Investment advisory services
• Securities brokerage
• Cross-border financial solutions
• Multi-custodial platform

Headquarters

HQ city

Miami

HQ country

United States

HQ region

North America

Offices12 records

Markets served

GTM type

B2B and B2C

Offering type

Services

Cost components

Personnel, Technology or R&D, Operations, Marketing or Sales, Infrastructure

Revenue model

1. Investment Advisory Services: UCAP Asset Management, LLC provides investment advisory services as a US SEC regulated Registered Investment Advisor. Revenue generated through advisory fees for bespoke portfolio construction, ongoing portfolio monitoring, risk management, and strategic guidance.
2. Securities Brokerage Services: UCAP Securities, LLC provides brokerage services as a US FINRA regulated Securities Firm. Revenue generated through transaction-based brokerage commissions on securities execution across global asset classes.

Go-to-market motion2 records

Distribution channels3 records

Marketing channels4 records

Core offering

UCAP Americas provides securities brokerage through UCAP Securities, LLC (a FINRA-regulated broker-dealer) and investment advisory services through UCAP Asset Management, LLC (a US SEC-regulated Registered Investment Advisor). It serves high-net-worth individuals, ultra-high-net-worth individuals, family offices, and institutional investors with bespoke portfolio construction, tailored security selection, ongoing portfolio monitoring, risk management, estate and legacy planning, and global market access via a multi-custodial platform. It also offers a B2B platform supporting Registered Investment Advisors, Broker-Dealers, and Family Offices with cross-border execution, custody, and trading services.

Product overview

UCAP Americas is a financial services company offering a platform of investment advisory and brokerage services through its subsidiaries UCAP Asset Management, LLC (SEC-regulated RIA) and UCAP Securities, LLC (FINRA-regulated broker-dealer). The company operates a multi-custodial platform that partners with leading international financial institutions to deliver sophisticated, client-centric wealth management solutions. UCAP Americas sits within the broader UCAP Group network, which also includes Capital Union Bank (Bahamas-based private banking), UCAP Bahamas (asset management/investment advisory/broker-dealer), and newly established UCAP London (wealth management). The group also distributes the Fixed Income Allocator (FIA) fund managed by Lake Geneva Investment Partners. Services include bespoke portfolio construction, global asset class diversification, security selection, ongoing monitoring and rebalancing, risk management, performance reporting, estate and legacy planning, insurance and asset protection, and consolidated reporting for high-net-worth individuals and families.

Differentiator

Problem solved

Functional benefit

Quantifiable outcome

• 99% straight-through processing rate
• +2 more outcomes

Named customers1 record

Segments5 records

Ideal customer profiles4 records

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration6 records

Feature5 records

Partnerships

Twelve partnerships are on record, tiered core and minor.

• AvaloqcoreTechnology or Integration · 4 December 2023Capital Union Bank has partnered with Avaloq for its core banking platform and web banking solution since 2014. The partnership includes Avaloq Core Platform deployment in SaaS model and Avaloq's Web Banking for enhanced client interaction. Joint innovation has further enhanced capabilities including dedicated compliance modules for KYC checks and support for complex investment products including digital assets.
• TauruscoreTechnology or Integration · 4 December 2023Capital Union Bank selected Taurus as strategic partner for its digital asset offering. The collaboration covers custody of digital assets for private, professional and institutional clients using Taurus-PROTECT (digital asset custody platform) and Taurus-EXPLORER (connectivity to over 15 blockchain protocols). The partnership enables full control of private keys for secure digital asset management.
• StoneXcoreTechnology or IntegrationStoneX is listed as a custodian partner on UCAP Americas' custodians page, providing custody services as part of the multi-custodial platform.
• Charles SchwabcoreTechnology or IntegrationCharles Schwab Co., Inc. is listed as a custodian partner on UCAP Americas' custodians page, providing custody services as part of the multi-custodial platform.
• PershingcoreTechnology or IntegrationPershing is listed as a custodian partner on UCAP Americas' custodians page, providing custody services as part of the multi-custodial platform.
• Morgan StanleycoreTechnology or IntegrationMorgan Stanley is listed as a custodian partner on UCAP Americas' custodians page, providing custody services as part of the multi-custodial platform.
• Capital Union BankcoreTechnology or IntegrationCapital Union Bank is listed as a custodian partner on UCAP Americas' custodians page, providing custody services as part of the multi-custodial platform. CUB is the private banking arm of UCAP Group.
• Lake Geneva Investment PartnerscoreStrategic or Co-development PartnerLake Geneva Investment Partners (LGIP) is an alliance partner of UCAP Group based in Geneva. LGIP manages the Fixed Income Allocator (FIA) fund which won Refinitiv Lipper Fund Awards 2023 in Switzerland and United Kingdom. UCAP Group is in alliance with Lake Geneva Investment Partners.
• Spirit Asset ManagementminorStrategic or Co-development PartnerSpirit Asset Management is an alliance partner of UCAP Group based in Luxembourg.
• Union Securities SwitzerlandminorStrategic or Co-development PartnerUnion Securities Switzerland is an alliance partner of UCAP Group.
• Isles of KnightminorStrategic or Co-development PartnerIsles of Knight is an alliance partner of UCAP Group based in Nassau.
• Premium Life InsuranceminorStrategic or Co-development PartnerPremium Life Insurance is an alliance partner of UCAP Group based in Nassau.

Scale indicators5 records

Recent moves7 records

Expansion highlights6 records

Direct peers

• EFG International: Swiss-listed private banking group focused on cross-border wealth management for HNW/UHNW clients globally. Multiple UCAP Americas senior executives (CEO Sixto Campano, COO Juan C. Massens, Lawrence D. Howell) came directly from EFG International, and the firms target overlapping client segments with similar cross-border solutions.
• Coutts & Co. (NatWest Private Banking): UK-based private bank and wealth manager serving UHNW clients internationally with cross-border expertise. Comparable in cross-border UHNW advisory positioning; Lawrence D. Howell served as former Head of Americas at Coutts International Private Banking, indicating deep familiarity and likely client overlap.
• Andbanc / Andbank: Andorran private bank serving international HNW clients with cross-border wealth management, asset management, and brokerage services. Comparable in cross-border HNW/private banking model; UCAP Americas Operations Manager Maureoskar Castillo was previously at AndBanc Brokerage.
• Credicorp Capital: Latin American-focused wealth management and investment banking arm of Credicorp, providing investment advisory and securities brokerage to HNW clients in the region. Directly comparable in Latin American HNW focus; UCAP Americas CCO Dinah Caratini was previously CCO at Credicorp Capital.
• Insigneo Financial Group: Independent, advisor-owned wealth management and broker-dealer firm serving international and Latin American HNW clients with cross-border solutions. Directly comparable in target market and product offering; several UCAP Americas Managing Directors (Miguel Ortiz, Enrique Jocelyn-Holt) previously worked at Insigneo.

Broad incumbents

• Lombard Odier: Swiss private bank with strong cross-border and family-office wealth management franchise, plus digital asset and tokenization initiatives. Comparable client segment and global footprint, with materially larger scale and broader product offering.
• J. Safra Sarasin: Swiss private banking group offering cross-border wealth management, asset management, and investment advisory to HNW/UHNW clients. Overlaps strongly in cross-border UHNW advisory, with broader product suite and larger AUM than UCAP Americas.
• Wells Fargo Advisors: US-headquartered broker-dealer and investment advisory platform serving HNW clients nationally. UCAP Americas has repeatedly hired senior advisors from Wells Fargo (Francisco de la Cámara, Miguel Ortiz, Susan Disdier), indicating direct competition for the same advisor pool and HNW client base.
• Merrill Lynch Wealth Management: US-headquartered wealth management division offering investment advisory and brokerage services to HNW/UHNW clients. Emmanuel Casuscelli was previously Head of Discretionary Investments at Merrill's Private Banking & Investment Group; comparable in US-side advisory capability but materially larger scale.

Others

• Capital Union Bank (UCAP Group affiliate): Bahamas-incorporated private bank within the UCAP Group network. Acts as an in-house custodian and banking partner on UCAP Americas' multi-custodial platform; included as a peer to reflect the integrated private-banking model that distinguishes UCAP Americas from pure-play US RIAs.

Market position

Strengths4 records

Weaknesses5 records

Competitive moat5 records

Key risks6 records

Key highlights6 records

Customer concentration

Compliance5 records

Revenue estimate

Valuation estimate

Number of profiles

Subsidiaries4 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about UCAP Americas