DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
U•••••••• C•••••• G•••• L••
Latest filing Jan 2, 2025
First filing on the tape Oct 8, 2013 · 11 filings
SEC status approved since May 12, 2023
RAUM
$115M
reported, Item 5.F
Discretionary
13%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$115M as of Jan 2, 2025
Mar 29, 2024$115M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 2, 2025
Mar 29, 20242 then
Employees (5.A)7 as of Jan 2, 2025
Mar 29, 20247 then
Private funds4 as of Jan 2, 2025
Mar 29, 20244 then
RAUM +0.0% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 2, 2025; every figure names its basis
- RAUM per advisor
- $57.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $28.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 13%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $15.2M, 46 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$100M87%
- Pooled investment vehicles$15.2M13%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $15.2M for 46 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• O••••••••• F••• I• L• | Other Private Fund | $7.3M | 23 | Apr 1, 2013 |
| U•••••••• E••••• I•••••••• I• L• | Private Equity Fund | $6.6M | 22 | Mar 31, 2023 |
| U•••••••• E••••• I•••••••• I•• L• | Private Equity Fund | $1.3M | 25,000 | Mar 31, 2023 |
| U•••••••• E••••• I•••••••• I• L• | Private Equity Fund | $0 | 2 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- M•••• J•••••••• R•••• · Chief Compliance Officer And Managing Membercontrolsince 04/2011 · owns less than 5%
- M•••• J•••••••• R•••• · Co-Trusteecontrolsince 04/2011 · owns 75% or more of M••• Family Trust
- R••••••••• J•••• D••••• · Co-Trusteecontrolsince 04/2011 · owns 75% or more of M••• Family Trust
Entity owners
- T•• M••• F••••• T•••• · Trustdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6Jan 16, 2024 to Mar 29, 2024
- BD registered reps · 2 to 3Jan 16, 2024 to Mar 29, 2024
- Pooled vehicle clients · 3 to 4Jan 16, 2024 to Mar 29, 2024
- Assets in custody · $157M to $15.2MJan 16, 2024 to Mar 29, 2024
- Employees · 8 to 7Jan 16, 2024 to Mar 29, 2024
- Insurance-licensed employees · 2 to 0Jan 16, 2024 to Mar 29, 2024
- Private funds · 3 to 4Jan 16, 2024 to Mar 29, 2024
- Discretionary RAUM · $56.8M to $15.2MJan 16, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $56.8M to $15.2MJan 16, 2024 to Mar 29, 2024
- RAUM · $157M to $115MJan 16, 2024 to Mar 29, 2024
- Accounts · 1 to 4Nov 6, 2014 to Mar 31, 2023
- Advisory activities · 6 to 5Nov 6, 2014 to Mar 31, 2023
- BD registered reps · 0 to 2Nov 6, 2014 to Mar 31, 2023
- Pooled vehicle clients · unset to 3.0Nov 6, 2014 to Mar 31, 2023
- Assets in custody · unset to 156821503.0Nov 6, 2014 to Mar 31, 2023
- Custody of client assets · false to trueNov 6, 2014 to Mar 31, 2023
- Employees · 5 to 8Nov 6, 2014 to Mar 31, 2023
- Insurance-licensed employees · 0 to 2Nov 6, 2014 to Mar 31, 2023
- State-registered IARs · 0 to 2Nov 6, 2014 to Mar 31, 2023
- Other offices · unset to 0.0Nov 6, 2014 to Mar 31, 2023
- Private funds · unset to 3Nov 6, 2014 to Mar 31, 2023
- Discretionary RAUM · $0 to $56.8MNov 6, 2014 to Mar 31, 2023
- Non-discretionary RAUM · $8.0M to $100MNov 6, 2014 to Mar 31, 2023
- Pooled vehicle RAUM · unset to 56821503.0Nov 6, 2014 to Mar 31, 2023
- RAUM · $8.0M to $157MNov 6, 2014 to Mar 31, 2023
- Accounts · unset to 1.0Oct 8, 2013 to Aug 20, 2014
- Discretionary RAUM · unset to 0.0Oct 8, 2013 to Aug 20, 2014
- Non-discretionary RAUM · unset to 8000000.0Oct 8, 2013 to Aug 20, 2014
- RAUM · unset to 8000000.0Oct 8, 2013 to Aug 20, 2014
Signals
3 dated events
- U•••••••• C•••••• G•••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $115.2M)May 2, 2025 · Left the SEC roster · derived
- D••••• J••• R••••••••• (Co-Trustee) appeared on Schedule A of U•••••••• C•••••• G•••• L••Mar 31, 2023 · Control person joined · fact
- U•••••••• C•••••• G•••• L•• filed its initial SEC registration (Form ADV)Oct 8, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- U•••••••• C•••••• G•••• L•• · Independent Sponsorsshared crd · capital_provider
- U•••••••• C•••••• G•••• L•• · Private Equityshared crd · organization
- U•••••••• C•••••• G•••• L•• · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/upwelling-capital-groupreportedpublic record, Form ADV, Sep 19, 2026
- Website
- U••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026