Upstream Financial Advisors LLC

Overview

Upstream Financial Advisors LLC is a small, independent registered investment adviser organized as an LLC that focuses on serving individuals and families with financial planning and portfolio management for individuals and small businesses. The firm charges either a percentage of assets under management or fixed fees and reports being an active ESG investor, indicating environmental, social, and governance factors are considered in its selection process. A notable element of the firm’s profile is its CPO/CTA business activity, which suggests experience with commodity-related trading or oversight of commodity pools alongside traditional advisory work. Investment implementation at Upstream Financial Advisors leans heavily toward pooled public funds rather than direct-stock portfolios. The adviser appears to use mutual funds as the primary vehicle to deliver diversified exposure across asset classes while layering in commodity-focused alternative exposure where appropriate. The boutique scale and single-owner structure point to a hands-on, client-centered approach rather than a large institutional platform.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices