INTRODUCTION Union Capital Company is an Investment Advisory firm, registered since April 11, 2007. We are registered with the SEC pursuant to the Investment Advisers Act of 1940, and notice filed in California, Texas, several other states and our home state of Arizona, which means we are registered to do business in these states. We may conduct business in other states by claiming an exemption from registration. Our registration as an Investment Adviser does not imply any level of skill or training. The oral and written communications we provide you, including this Brochure, is information you can use to evaluate us and other advisers, which are factors in your decision to hire us or to continue to maintain a mutually beneficial relationship. This Brochure provides information about our qualifications and business practices. OWNERSHIP Union Capital Company is a privately owned corporation headquartered in Tucson, Arizona. Frank Almada, President, & Chief Compliance Officer founded Union Capital Company on December 30, 1999. Union Capital Holdings Corp. is the parent company of Union Capital Company. Frank Almada is the majority shareholder of Union Capital Holdings Corp. ADVISORY SERVICES OFFERED Union Capital Company is an investment advisory firm providing Portfolio Management on a Discretionary and Non- Discretionary basis. We are also a registered broker/dealer, member FINRA/SIPC. We provide this service to individuals, trusts, estates, charitable organizations and corporations. Our service constitutes an ongoing process by which: a) Your investment objectives, constraints and preferences are identified and specified. b) Your strategies are developed and implemented through a combination of financial assets. c) Capital market conditions and your circumstances are monitored; and d) Portfolio adjustments are made as appropriate to reflect significant changes to any or all of the

above relevant variables. PORTFOLIO MANAGEMENT SERVICES: We provide portfolio management services on either a discretionary or non- discretionary basis. Our portfolio management service consists of asset allocation and portfolio management tailored to meet your investment goals. The services typically include investment strategies to include investments in equity and fixed income securities, mutual funds, fund of funds or a balance of these investments. All securities transactions will be placed through Union Capital Company. On a discretionary basis, we design, revise and reallocate a custom portfolio for you. The investments are determined based upon your investment objectives, risk tolerance, net worth, net income, age, investment time horizon, tax situation and other various suitability factors. On a non-discretionary basis, we provide periodic recommendations to you and if such recommendations are approved, we will ensure that the authorized recommendations are carried out. We will evaluate your financial situation through a review of financial information and in-depth personal interviews that include understanding your investment objectives and risk tolerances. We will advise you regarding portfolio diversification. Most of our clients fall under the aggressive growth, moderate growth, balanced, income and conservative. Assets are then allocated accordingly. Custody of your accounts for both securities and funds will be maintained at RBC Capital Markets, LLC, the designated custodian and clearing firm for Union Capital Company (Member FINRA/SIPC). ASSETS UNDER MANAGEMENT: As of December 31, 2022, Union Capital Company has approximately $23,000,000 million dollars in discretionary assets under management and $117,000,000 million dollars in non-discretionary assets under management, for a total of $140,000,000.00 dollars in total assets.