⌕
Firm profile

One-up Financial

ERIE, PACRD 333778Registration Status: ApprovedEffective since May 21, 2026Latest ADV May 5, 2026

One-Up Financial is an SEC registered investment adviser organized as a limited liability company with a primary office location in Erie, PA. Its latest Form ADV filing, dated May 5, 2026, reports $107M in regulatory assets under management, 9 employees, and 97 accounts.

Assets Under Management
$107M
Employees
9
Offices
--
Total Clients
97
Primary office
ERIE, PA
1545 WEST 38TH STREET, ERIE, PA, United States
ADV Item 1F location record

Contact and digital presence

ADV profile links

Leadership

2 roles identified
CCOEric J. Presogna
CFODavid Herbe

Advisory services offered

3 types reported
Financial Planning Services
Pension consulting services
Portfolio management for individuals and small businesses

Fee models offered

2 types reported
Asset based fees
Fixed fees
Sources checked Aug 22, 2026

Client Coverage Demographics

Top client segmentIndividuals represent 60.8% of total clients.
Top client categories% of clientsClients
1
Individuals
60.8%
59
2
HNWI
38.1%
37
3
Charitable
1.0%
1
Categories with <5 clients
Charitable Organizations<5 clients

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$107Mas of May 5, 2026
Discretionary82.8%
$89M
83% of total RAUM82.8%
Non-discretionary17.2%
$18M
17% of total RAUM17.2%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$107M
Total Accounts97
10Y AUM Change—

Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees9
Clients per Employee11:1
10Y Employee Change—

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.