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Upright Financial Corp
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CRD # | 107303 |
SEC # | 801-38340 |
CIK # | 0001058587 |
AUM | $62.6 MM (2024-07-01) |
Employees | 3 (33% Investors, 0% Brokers) |
Phone | 973-533-1818 |
Address | 349 Ridgedale Ave East Hanover, NJ 07936 |
Source | [IAPD] [EDGAR] |
Total AUM ($MM) |
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Type | Form D Funds | Date | Sold ($MM) | AUM ($MM) |
---|---|---|---|---|
HF | Upright Capital USA LLC | 2018-05-01 | 7.2 |
AUM Breakdown | Accounts | AUM ($MM) |
---|---|---|
By Client Type | ||
(a) Individuals (other than high net worth individuals) | 31 | 13.0 |
(b) Individuals (high net worth individuals) | 6 | 18.4 |
(c) Banking or thrift institutions | 0 | 0.0 |
(d) Investment companies | 3 | 23.6 |
(e) Business development companies | 0 | 0.0 |
(f) Pooled investment vehicles | 1 | 7.2 |
(g) Pension and profit sharing plans | 0 | 0.0 |
(h) Charitable organizations | 1 | 0.5 |
(i) State or municipal government entities | 0 | 0.0 |
(j) Other investment advisers | 0 | 0.0 |
(k) Insurance companies | 0 | 0.0 |
(l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
(m) Corporations or other businesses not listed above | 0 | 0.0 |
(n) Other | 0 | 0.0 |
Total | 42 | 62.6 |
By Discretionary | ||
Discretionary | 42 | 62.6 |
Non-Discretionary | 0 | 0.0 |
Total | 42 | 62.6 |
By Non-United States Persons | ||
Non-United States Persons | 10.9 | |
United States Persons | 51.7 | |
Total | 42 | 62.6 |
Comparable Firms | State | AUM ($BB) |
---|---|---|
Three Bell Capital LLC
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|
TX | 3.2 |
CM Wealth Advisors LLC
✚
|
OH | 3.2 |
Rays Capital Partners Limited
✚
|
0.5 | |
The Estate Planners Group LLC
✚
|
PA | 0.3 |
Preston Wealth Advisors LLC
✚
|
VA | 0.2 |
Raison Asset Management Corp
✚
|
0.1 | |
Avalon Advisors LLC
✚
|
TX | 0.0 |
Wedbush Asset Management LLC
✚
|
CA | 0.0 |
Round Table Services LLC
✚
|
NY | 0.0 |
Foresight Wealth Management LLC
✚
|
UT | 0.0 |