U
Union Capital Management Corp
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$1,875,165
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
3
100% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
3
Very LowAverage account size
$625,055
About
Union Capital Management Corp is a state-registered investment adviser that provides discretionary investment management to a small mix of clients including a Louisiana municipal/public fund, high-net-worth individuals and their retirement plans, and corporate accounts; it does not generally serve non‑high‑net‑worth retail individuals. The firm profiles and constructs portfolios with an emphasis on income and dividend-producing securities and, for public clients, statutorily restricted fixed‑income investments.
UCM tailors strategies to client objectives, using fundamental and sector analysis and favoring dividend- and interest‑paying stocks for individual accounts while holding government securities to maturity in the public fund account; exchange-traded funds are used primarily as hedges and sizable cash positions are maintained at times. Accounts are managed on a discretionary basis, reviewed monthly by the firm, and clients can impose investment restrictions or change objectives at any time.
What distinguishes UCM among similarly sized supported advisers is its ongoing management of a municipal/public fund in Louisiana — including a benchmark-linked compensation arrangement for that account — a client type and fee structure that are uncommon for firms in this category. The firm manages approximately $64,356,921 in assets for a relatively small client base, operates with a two-advisor team, does not accept commission-based compensation, and limits mutual fund use, resulting in a concentrated, income‑oriented practice.
Client services
Portfolio management
Expertise
Income planning
Retirement plans for business owners (SEP, solo 401k)
Occupation focus
Founder/Business Owner
Fee options
$0 - $1,000,000: 0.50% for fixed income accounts $0 - $1,000,000: 0.80% for balanced accounts (fixed income and stocks) $0 - $1,000,000: 1.00% for stock accounts $1,000,001 - $3,000,000: Not explicitly stated, implied negotiable for assets over $1,000,000 $3,000,001+: Fees are negotiable for assets over $3,000,000
For one public fund client: 20% of income earned above benchmark, paid semi-annually; no performance fees based on capital gains.
Account minimum: $1,000,000 Fee-only: Yes, fees only; no commissions accepted.
Main office location
Union Capital Management Corp
New Orleans LA, United States
Number of offices
1
Most active in
Union Capital Management Corp has reported serving >5 clients in these states in the last 12 months.
Louisiana
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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