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UPTOWN FINANCIAL ADVISORS LLC, CRD 171401
DALLAS, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JAMES KEMP SAWERS | n/a | DALLAS, TX | 12 | 12 | n/a | no |
| CHRISTOPHER JAMES CARRIE | n/a | DALLAS, TX | 12 | 14 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CARRIE, CHRISTOPHER, JAMES | TREASURER AND MANAGING MEMBER | D | yes | 04/2014 | Mar 6, 2026 | Mar 6, 2026 |
| SAWERS, JAMES, KEMP | PRESIDENT, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER, DESIGNATED OFFICER | D | yes | 04/2014 | Mar 6, 2026 | Mar 6, 2026 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 6, 2026 | $154M | $154M | 2 | 2 | 0 | n/a | n/a |
| 2024 | Apr 28, 2025 | $125M | $125M | 2 | 2 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $154M | $125M | 22.8% | n/a | n/a | 2 | 2 | 0 | 0 |