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.

Firm class

independent wealth managerderivedprivate_client_share=0.77 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$201MItem 5.F on the latest filing (2026-07-07); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$173M

Private client RAUM

$156MderivedItem 5.D individuals plus high net worth individuals

Private client share

77%derivedprivate client RAUM over total RAUM

Advisors on IAPD

2

RAUM per advisor

$101Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

2

Advisory employees

2

Offices

1Schedule D 1.F, beyond the principal office

Accounts

370

Individual clients

36

High net worth clients

52

SEC number

801-123531

CRD

288762

Filings on the tape

20

First filed

Feb 23, 2022

Latest filed

Jul 7, 2026

Organised

Limited Liability Company, DE

• Occurred

  Feb 23, 2022
  First Form ADV filing

  Upper Left Wealth Management, Llc filed its initial SEC registration (Form ADV)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:3625afdf-1b92-5181-9f83-04fba2a73158

First observed

Feb 23, 2022

Last observed

Jul 7, 2026 2 months ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.