The UP FINANCIAL USA is a privately held investment adviser that advises $4.13mn in regulatory assets under management held in 0 SEC fund types across 0 investment strategies. UP FINANCIAL USA is a Retail Wealth A retail wealth manager is a manager whose >=75% of total assets under management are managed for individual investors through retail advisory or brokerage channels. Manager. Assets increased by 105.98% over the last 1-years.
The Group has been registered with the SEC for 3.12 years and is comprised of 1 filing and 0 relying advisers. They operate out of 1 office location with their Headquarters at 396 11TH AVE SW SUITE 1020, CALGARY, -. The Group has not been subject to regulatory enforcement actions. They are regulated by 4 US and Non-US bodies.
They have 5 employees comprised of 3 investment and 2 non-investment staff. The total number of Employees increased by 150% over the last 3-years.
Their $4.13mn in assets advised are owned by 0 private funds, 0 public funds and BDCs and 0 other accounts.
The Group's top investment strategies include , representing of total assets, respectively.
They advise 0 types of clients.
The Group uses 0 Fund Administrators, 0 Fund Auditors, 0 Prime Brokers, 0 Custodians and 0 Marketers. It does not report a third-party Fund Administrator in 0 private funds with $0 in assets.
The Group discloses management fees.
UP FINANCIAL USA names 0 sub-advisers to 0 different funds advised by the group. The Group has been named as the sub-adviser to 0 funds.