SERVICES FOR

ADVISORS

 We provide our clients with a flexible open architecture, comprised of global custody and solutions, extensive market access, and outstanding service.

 

We build long-term partnerships with family offices, asset managers and private bankers who share our entrepreneurial spirit and understand the benefits of being independent.

 

We see great value in sharing our global expertise to help Advisors achieve and exceed clients’ objectives.

UCAP ASSET MANAGEMENT, LLC:

INVESTMENT ADVISORY SERVICES

CUSTODIANS

  • Citibank
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  • INTL FC Stone
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  • Morgan Stanley
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  • Capital Union Bank (Bahamas)
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  • Clients may also maintain their existing custodial relationships

 

 

 

 

TECHNOLOGY

  • 24 hour execution capability electronically or through trading desks in Geneva, Nassau and New York
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  • Global reporting for multiple custodians
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  • Real-time portfolio and securities pricing
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  • Automated calculation and billing of management fees

FLEXIBLE ARCHITECTURE

  • Client executes an investment advisory agreement with UCAP Asset Management, LLC with specific authority to act on his or her behalf (Limited Power of Attorney)
  •  
  • UCAP Asset Management, LLC can work with the client's advisor as a Portfolio-Manager or sub-advisor

JOIN US

Cross

Asset

Solutions

 

Union Capital Group provides tailor-made structured solutions on the following asset classes:

Equities:

Single stocks, indices and ETFs

Funds:

Mutual funds, hedge funds and fund of funds

Commodities:

Energies, precious metals, base metals and soft commodities

Fixed Income, FX and Credit

Hybrid Structures

SERVICES FOR

BROKERS

Our clients enjoy full execution, clearing and custody options in the US and internationally. We execute all liquid asset classes including equities, options, bonds, mutual funds, and exchange traded funds.

 

Our allied partners are leaders in structured notes, exchange traded notes, and private fund vehicles.

 

They also focus on balance sheet opportunities in credit, lending and cash management.

UCAP SECURITIES, LLC:

BROKERAGE SERVICES

TRADING

  • DVP through global desks in Geneva, Nassau, New York
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  • Multi-currency capability in all major asset classes and cash
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  • FX, OTC derivatives, and structured note capabilities through our partners
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  • Bespoke Euroclear eligible funds and notes
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  • Electronic Order Management (EMS) through Bloomberg, Interactive Brokers, and others

FINANCING

  • Margin on listed securities
  •  
  • Non-purpose loans
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  • Cross-asset financing
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  • Multi-currency lending
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  • Full private banking capabilities

SAFETY OF ASSETS

  • UCAP Securities, LLC is a SIPC* member
  •  
  • U.S. custodians generally provide both SIPC and excess SIPC insurance
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  • Cash deposit sweep program provides FDIC** coverage up to $2,500,000 on cash balances
  •  
  • Capital Union Bank is a direct member of Euroclear Bank

* The Securities Investor Protection Corporation is a federally mandated, non-profit, member-funded, United States corporation created under the Securities Investor Protection Act (SIPA). The SIPC fund is designed to protect the customers of brokers or dealers subject to the SIPA from loss in case of financial failure of the member.

 

** Cash deposits are insured by the FDIC, an independent agency of the federal government backed by the full faith and credit of the U.S. government, up to $250,000 per depositor per Program Bank for each category of legal ownership. To provide additional coverage, a network of banks is used in a manner designed to provide you with a maximum deposit insurance limit of $2,500,000 per depositor for each category of legal ownership. Please contact your financial advisor if you have questions about FDIC, SIPC, or excess coverage.