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.
SEC-registered adviser
Upstart Wealth Management, LLC
Latest filing Jul 30, 2026
First filing on the tape Jun 4, 2021 · 25 filings
SEC status approved since Jul 6, 2021
RAUM
$386M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$384M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$96.5M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$386M as of Jul 30, 2026
Feb 4, 2022$214M then
HNW client RAUM$366M as of Jul 30, 2026
Feb 4, 2022$192M then
State-registered IARs (5.B.3)4 as of Jul 30, 2026
Feb 4, 20226 then
Employees (5.A)4 as of Jul 30, 2026
Feb 4, 20226 then
Private funds: no history
RAUM +31% over the last fiscal year+28% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
- RAUM per advisor
- $96.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $98.6M, 22 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$366M95%
- Individuals$17.9M4.6%
- Charitable organizations$2.0M0.5%
- Individual clients
- 30reported
- HNW clients
- 61reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 207reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $98.6M for 22 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Alan PowsnerCertified Financial Planner, Personal Financial Specialist | New York, Ny | Jan 6, 2015 | 14 y | 1 |
| Russell Garrison KroegerCertified Financial Planner | Durham, Nc | Sep 14, 2018 | 11 y | 2 |
| Youxi LiuCertified Financial Planner, Personal Financial Specialist | New York, Ny | Aug 5, 2021 | 13 y | 0 |
| Yoo Chung Chang | Chicago, Il | Mar 12, 2025 | 11 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
- Jack Ryan O'Donnell to Jro Wealth Management LLCMay 31, 2023 · RIA to a state-registered adviser
Joined, latest
- Jack Ryan O'Donnell from Hoylecohen, LLCJan 12, 2022 · RIA to RIA
- Russell Garrison Kroeger from Paradigm WealthSep 14, 2018 · Other
- Michael Alan Powsner from Gerstein FisherJan 6, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Garrison Russell Kroeger · Member & Financial Plannercontrolsince 01/2019 · owns 10% to 25%
- Alan Michael Powsner · Managing Membercontrolsince 12/2014 · owns 75% or more
- Dana Christopher Stanley · Chief Compliance Officercontrolsince 04/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| New York, Ny | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
- , 1 employees
- San Francisco, CA
What changed
consecutive filings, newest first
- Accounts · 202 to 207Nov 10, 2025 to Feb 20, 2026
- HNW clients · 58 to 61Nov 10, 2025 to Feb 20, 2026
- Individual clients · 31 to 30Nov 10, 2025 to Feb 20, 2026
- Assets in custody · $84.8M to $98.6MNov 10, 2025 to Feb 20, 2026
- Discretionary RAUM · $294M to $386MNov 10, 2025 to Feb 20, 2026
- HNW RAUM · $276M to $366MNov 10, 2025 to Feb 20, 2026
- Individual RAUM · $15.9M to $17.9MNov 10, 2025 to Feb 20, 2026
- RAUM · $294M to $386MNov 10, 2025 to Feb 20, 2026
- Advisory employees · 3 to 4Mar 3, 2025 to Apr 10, 2025
- Employees · 3 to 4Mar 3, 2025 to Apr 10, 2025
- Financial planning clients · 51-100 to 51-100Mar 3, 2025 to Apr 10, 2025
- State-registered IARs · 3 to 4Mar 3, 2025 to Apr 10, 2025
- Other offices · 3 to 4Mar 3, 2025 to Apr 10, 2025
- Accounts · 206 to 202Dec 16, 2024 to Mar 3, 2025
- Advisory employees · 4 to 3Dec 16, 2024 to Mar 3, 2025
- Assets in custody · unset to 84795949.0Dec 16, 2024 to Mar 3, 2025
- Custody of client assets · false to trueDec 16, 2024 to Mar 3, 2025
- Employees · 4 to 3Dec 16, 2024 to Mar 3, 2025
- HQ city · unset to Dec 16, 2024 to Mar 3, 2025
- HQ state · unset to Dec 16, 2024 to Mar 3, 2025
- State-registered IARs · 4 to 3Dec 16, 2024 to Mar 3, 2025
- Other offices · 5 to 3Dec 16, 2024 to Mar 3, 2025
- Discretionary RAUM · $248M to $294MDec 16, 2024 to Mar 3, 2025
- HNW RAUM · $231M to $276MDec 16, 2024 to Mar 3, 2025
- Individual RAUM · $15.6M to $15.9MDec 16, 2024 to Mar 3, 2025
- RAUM · $248M to $294MDec 16, 2024 to Mar 3, 2025
- Succession · true to falseSep 5, 2024 to Dec 16, 2024
- Other offices · 4 to 5May 23, 2024 to Sep 5, 2024
- Succession · false to trueMay 23, 2024 to Sep 5, 2024
- Accounts · 203 to 206Sep 13, 2023 to Mar 4, 2024
- HNW clients · 56 to 58Sep 13, 2023 to Mar 4, 2024
- Individual clients · 37 to 31Sep 13, 2023 to Mar 4, 2024
- Discretionary RAUM · $182M to $248MSep 13, 2023 to Mar 4, 2024
- HNW RAUM · $164M to $231MSep 13, 2023 to Mar 4, 2024
- Individual RAUM · $16.8M to $15.6MSep 13, 2023 to Mar 4, 2024
- RAUM · $182M to $248MSep 13, 2023 to Mar 4, 2024
- Advisory employees · 5 to 4Mar 1, 2023 to May 31, 2023
- Employees · 5 to 4Mar 1, 2023 to May 31, 2023
- State-registered IARs · 5 to 4Mar 1, 2023 to May 31, 2023
- Other offices · 5 to 4Mar 1, 2023 to May 31, 2023
Signals
3 dated events
- Upstart Wealth Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 5, 2024 · Succession (Item 4) · fact
- Jack Ryan O'Donnell left Upstart Wealth Management, Llc for Jro Wealth Management Llc (registered 2024-04-26)May 31, 2023 · Advisor changed firm · fact
- Upstart Wealth Management, Llc filed its initial SEC registration (Form ADV)Jun 4, 2021 · First SEC registration · fact
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
- Firm profile
- linkedin.com/company/upstart-wealth-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- UPSTARTWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (415) 549-0646reportedpublic record, Form ADV, Jul 30, 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
- $96.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026