Union Capital Company

Union Capital Company serves individuals, trusts, estates, charitable organizations and corporations through a ten-advisor team, managing approximately $150 million across about 414 client accounts. The firm offers portfolio management on both discretionary and non‑discretionary bases, with custody of client assets maintained at RBC Capital Markets and TD Ameritrade Institutional.

Investment programs are constructed using Markowitz Modern Portfolio Theory with allocations to mutual funds, ETFs and individual securities, and the firm also uses charting, fundamental and technical analysis and, at times, covered‑call strategies. While it can act discretely, the brochure reports roughly $3 million in discretionary AUM and $147 million in non‑discretionary AUM, so most client assets are managed on a recommendation/approval (non‑discretionary) basis.

Union Capital is dual‑registered as an SEC investment adviser and a FINRA/SIPC broker‑dealer, and many advisory agents are also registered representatives and licensed insurance agents who may receive commissions, 12b‑1 fees or insurance commissions when implementing recommendations. The firm discloses affiliated entities and past regulatory actions (AWCs in 2019 and 2024) and emphasizes portfolio management services rather than standalone financial planning.