Upright Financial Corp is an SEC registered investment adviser organized as a corporation. Its latest Form ADV filing, dated March 30, 2026, reports $98M in regulatory assets under management, 4 employees, and 36 accounts.
Top client segmentIndividuals represent 52.8% of total clients.
Top client categories% of clientsClients
1
Individuals
52.8%
19
2
HNWI
33.3%
12
3
Investment Cos.
8.3%
3
4
Pooled Investment Vehicles
2.8%
1
5
Charitable
2.8%
1
Categories with <5 clients
Charitable Organizations<5 clients
Regulatory Assets Under Management Breakdown
Total regulatory assets under management$98Mas of March 30, 2026
Discretionary100.0%
$98M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.
Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM$98M
Total Accounts36
10Y AUM Change+$66M (+205.2%)
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees4
Clients per Employee9:1
10Y Employee Change+1 (+33.3%)
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Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.