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
Upper Left Wealth Management, LLC
Latest filing Jul 7, 2026
First filing on the tape Feb 23, 2022 · 20 filings
SEC status approved since Mar 25, 2022
RAUM
$201M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
77%
$156M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$201M as of Jul 7, 2026
Jan 31, 2023$102M then
HNW client RAUM$142M as of Jul 7, 2026
Jan 31, 2023$74.9M then
State-registered IARs (5.B.3)2 as of Jul 7, 2026
Jan 31, 20232 then
Employees (5.A)2 as of Jul 7, 2026
Jan 31, 20232 then
Private funds: no history
RAUM +22% over the last fiscal year+25% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 7, 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
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $543,555derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$142M71%
- Pension and profit-sharing plans$29.4M15%
- Charitable organizations$15.8M7.9%
- Individuals$14.1M7.0%
- Individual clients
- 36reported
- HNW clients
- 52reported
- Pension plan clients
- 6reported
- Charitable clients
- 1reported
- Accounts
- 370reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.23 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 |
|---|---|---|---|---|
| Randy David KurtzCertified Financial Planner | Tampa, Fl | Jul 13, 2022 | 23 y | 3 |
| Anthony Bowser Wall | Washington, Dc | Oct 3, 2022 | 11 y | 2 |
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
none on the tape
Joined, latest
- Anthony Bowser Wall from Praetorian Guard, A Division Of Praetorian Wealth Management,IncOct 3, 2022 · RIA to RIA
- Randy David Kurtz from MoneypacerJul 13, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- David Randy Kurtz · Managing Member And Chief Compliance Officercontrolsince 05/2017 · owns 75% or more
Related persons
Schedule D 7.A
- Moneypacerinvestment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tampa, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jul 7, 2026pension consulting (Item 5.G.6): no on the filing of 2026-01-14, yes on the filing of 2026-07-07peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory activities · 3 to 4Jan 14, 2026 to Jul 7, 2026
- Accounts · 304 to 370Dec 5, 2025 to Jan 14, 2026
- HNW clients · 50 to 52Dec 5, 2025 to Jan 14, 2026
- Individual clients · 33 to 36Dec 5, 2025 to Jan 14, 2026
- Discretionary RAUM · $133M to $173MDec 5, 2025 to Jan 14, 2026
- HNW RAUM · $109M to $142MDec 5, 2025 to Jan 14, 2026
- Individual RAUM · $12.9M to $14.1MDec 5, 2025 to Jan 14, 2026
- Non-discretionary RAUM · $32.1M to $28.1MDec 5, 2025 to Jan 14, 2026
- Pension RAUM · $29.8M to $29.4MDec 5, 2025 to Jan 14, 2026
- RAUM · $165M to $201MDec 5, 2025 to Jan 14, 2026
- Accounts · 343 to 304Feb 21, 2024 to Feb 6, 2025
- HNW clients · 45 to 50Feb 21, 2024 to Feb 6, 2025
- Individual clients · 42 to 33Feb 21, 2024 to Feb 6, 2025
- Financial planning clients · 51-100 to 51-100Feb 21, 2024 to Feb 6, 2025
- HQ city · unset to Feb 21, 2024 to Feb 6, 2025
- HQ state · unset to Feb 21, 2024 to Feb 6, 2025
- Discretionary RAUM · $116M to $133MFeb 21, 2024 to Feb 6, 2025
- HNW RAUM · $89.5M to $109MFeb 21, 2024 to Feb 6, 2025
- Individual RAUM · $16.4M to $12.9MFeb 21, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $28.7M to $32.1MFeb 21, 2024 to Feb 6, 2025
- Pension RAUM · $26.3M to $29.8MFeb 21, 2024 to Feb 6, 2025
- RAUM · $144M to $165MFeb 21, 2024 to Feb 6, 2025
- Accounts · 360 to 343Feb 6, 2024 to Feb 21, 2024
- HNW clients · 46 to 45Feb 6, 2024 to Feb 21, 2024
- Individual clients · 43 to 42Feb 6, 2024 to Feb 21, 2024
- Pension plan clients · 1 to 6Feb 6, 2024 to Feb 21, 2024
- Discretionary RAUM · $102M to $116MFeb 6, 2024 to Feb 21, 2024
- HNW RAUM · $74.9M to $89.5MFeb 6, 2024 to Feb 21, 2024
- Individual RAUM · $14.6M to $16.4MFeb 6, 2024 to Feb 21, 2024
- Non-discretionary RAUM · $430,643 to $28.7MFeb 6, 2024 to Feb 21, 2024
- Pension RAUM · $1.0M to $26.3MFeb 6, 2024 to Feb 21, 2024
- RAUM · $102M to $144MFeb 6, 2024 to Feb 21, 2024
- Accounts · 290 to 360Oct 11, 2022 to Jan 31, 2023
- HNW clients · 37 to 46Oct 11, 2022 to Jan 31, 2023
- Individual clients · 42 to 43Oct 11, 2022 to Jan 31, 2023
- Other offices · 0 to 1Oct 11, 2022 to Jan 31, 2023
- Discretionary RAUM · $120M to $102MOct 11, 2022 to Jan 31, 2023
- HNW RAUM · $91.1M to $74.9MOct 11, 2022 to Jan 31, 2023
- Individual RAUM · $15.3M to $14.6MOct 11, 2022 to Jan 31, 2023
- Non-discretionary RAUM · $899,500 to $430,643Oct 11, 2022 to Jan 31, 2023
Signals
1 dated events
- Upper Left Wealth Management, Llc filed its initial SEC registration (Form ADV)Feb 23, 2022 · 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
- Business phone
- 917-768-3390reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- UPPERLEFTWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 917-768-3390reportedpublic record, Form ADV, Jul 7, 2026
- Team page
- upperleftwealth.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026