Up Financial USA Inc.

RIASEC Registered
Total AUM
$4.1M
Discretionary
$4.1M
100% of AUM
Avg account
$295K
Accounts
14
Employees
5
Advisory reps
2

Firm details

Headquarters
Calgary,
CRD number
326602
Registered since
June 20, 2023
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM
Client types
  • HNWI79.27%
  • Individuals20.73%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Up Financial USA Inc. is a corporate registered investment adviser that lists SEC registration in 2023. The firm serves individuals and small businesses with portfolio management and financial planning services and charges clients on a percentage-of-AUM basis. Ownership is reported as a combination of a foreign entity and an individual. The firm does not identify as an ESG investor, is not multi-state, and is not positioned as a capital allocator or pension consultant. Industry affiliations include relationships with another investment adviser and an insurance company.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 95%, Cash & Cash Equivalents 5%95%
  • Exchange Traded Equities95%
  • Cash & Cash Equivalents5%

Owners & executives

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Contacts

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

Calgary, null

Location

Calgary, null

Headquartered in Calgary, null.

Address
1020 396 11 Ave Sw
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth