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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SEC-registered adviser
U••••• C•••••• A•••••••
Legal name U••••• F•••••••• A••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Apr 28, 2025 · 2 filings
SEC status approved since May 28, 2025
RAUM
$154M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$149M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$76.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$154M as of Mar 6, 2026
Apr 28, 2025$125M then
HNW client RAUM$137M as of Mar 6, 2026
Apr 28, 2025$113M then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Apr 28, 20252 then
Employees (5.A)2 as of Mar 6, 2026
Apr 28, 20252 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $76.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $615,253derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$137M89%
- Individuals$11.6M7.5%
- Charitable organizations$5.1M3.3%
- Individual clients
- 44reported
- HNW clients
- 92reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 250reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• K••• S••••• | Dallas, Tx | Jun 6, 2014 | 12 y | 0 |
| C••••••••• J•••• C••••• | Dallas, Tx | Jun 10, 2014 | 14 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- C••••••••• J•••• B•••••• to A••••••• I••••••••• M••••••••• L••Apr 6, 2015 · Other
Joined, latest
- C••••••••• J•••• B•••••• from C••••••• P•••••••Jun 10, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• J•••• · Treasurer And Managing Membercontrolsince 04/2014 · owns 50% to 75%
- S•••••• J••••• K••• · President, Chief Compliance Officer, Managing Member, Designated Officercontrolsince 04/2014 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 232 to 250Apr 28, 2025 to Mar 6, 2026
- Charity clients · 3 to 4Apr 28, 2025 to Mar 6, 2026
- HNW clients · 87 to 92Apr 28, 2025 to Mar 6, 2026
- Individual clients · 35 to 44Apr 28, 2025 to Mar 6, 2026
- Discretionary RAUM · $125M to $154MApr 28, 2025 to Mar 6, 2026
- HNW RAUM · $113M to $137MApr 28, 2025 to Mar 6, 2026
- Individual RAUM · $7.5M to $11.6MApr 28, 2025 to Mar 6, 2026
- RAUM · $125M to $154MApr 28, 2025 to Mar 6, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••@u•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-628-9508reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/uptown-capital-advisorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- U•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 214-628-9508reportedpublic record, Form ADV, Mar 6, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $76.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026