|
⚲
|
| Upright Financial Corp
✚
|
|
|---|---|
| CRD # | 107303 |
| SEC # | 801-38340 |
| CIK # | |
| AUM | $53.6 MM (2023-03-30) |
| Employees | 3 (33% Investors, 0% Brokers) |
| Phone | 973-533-1818 |
| Address | 349 Ridgedale Ave East Hanover, NJ 07936 |
| Source | [IAPD] |
| Total AUM ($MM) |
|---|
| Type | Form D Funds | Date | Sold ($MM) | AUM ($MM) |
|---|---|---|---|---|
| HF | Upright Capital USA LLC | 2018-05-01 | 4.8 |
| AUM Breakdown | Accounts | AUM ($MM) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 37 | 13.8 |
| (b) Individuals (high net worth individuals) | 4 | 12.9 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 3 | 20.6 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 1 | 5.7 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 1 | 0.5 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 46 | 53.6 |
| By Discretionary | ||
| Discretionary | 46 | 53.6 |
| Non-Discretionary | 0 | 0.0 |
| Total | 46 | 53.6 |
| By Non-United States Persons | ||
| Non-United States Persons | 5.2 | |
| United States Persons | 48.4 | |
| Total | 46 | 53.6 |
| Comparable Firms | State | AUM ($BB) |
|---|---|---|
|
Private Capital Management LLC
✚
|
CO | 1.5 |
|
Foresight Wealth Management LLC
✚
|
UT | 1.3 |
|
Rays Capital Partners Limited
✚
|
0.7 | |
|
The Estate Planners Group LLC
✚
|
PA | 0.3 |
|
Wave Digital Assets LLC
✚
|
CA | 0.2 |
|
Preston Wealth Advisors LLC
✚
|
VA | 0.2 |
|
Raison Asset Management Corp
✚
|
0.1 | |
|
Entoro Investments LLC
✚
|
TX | 0.0 |
|
Wedbush Asset Management LLC
✚
|
CA | 0.0 |
|
Round Table Services LLC
✚
|
NY | 0.0 |