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.
Former SEC-registered adviser
Upholdings
Legal name Upholdings Group LLC
Latest filing Jul 11, 2023
First filing on the tape Oct 12, 2020 · 12 filings
RAUM
$1.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$1.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$700,000
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$100,000 gross assets
History
12 filings and snapshots on the tape
RAUM$7.2M as of Feb 1, 2023
May 6, 2021$11.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 1, 2023
May 6, 20211 then
Employees (5.A)2 as of Feb 1, 2023
May 6, 20212 then
Private funds: no history
RAUM -86% over the last fiscal yearIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Jul 11, 2023; every figure names its basis
- RAUM per advisor
- $700,000derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $700,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- -30%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
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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$1.3M93%
- Pooled investment vehicles$100,0007.1%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Henry Cantwell | Nashville, Tn | Nov 20, 2020 | 13 y | 0 |
| Roman Joseph Puglise | Nashville, Tn | Jul 17, 2025 | 13 y | 1 |
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 headcount1 left over 36 months
Left, latest
- Lars Cianciolo to Lmcg Investments, LLCAug 2, 2024 · RIA to RIA
Joined, latest
- Roman Joseph Puglise from MarinerJul 17, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Upholdings: Flagship Fundno longer reported | Hedge Fund | $1.5M | 6 | Oct 12, 2020 |
| The Compound Kings Fund | Other Private Fund | $100,000 | 1 | Jun 2, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Alexander Robert Cantwell · Managing Member / Chief Compliance Officercontrolsince 01/2019 · owns 75% or more
- Thomas Glen Kacher · Trusteesince 05/2021 · owns F of Kacher Revocable Trust
Entity owners
- Kacher Revocable Trust · Memberdirect · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Nashville, Tn | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1 to 2Feb 1, 2023 to Jun 2, 2023
- Advisory activities · 3 to 2Feb 1, 2023 to Jun 2, 2023
- HNW clients · unset to 1.0Feb 1, 2023 to Jun 2, 2023
- Pooled vehicle clients · unset to 1.0Feb 1, 2023 to Jun 2, 2023
- Financial planning clients · 0 to unsetFeb 1, 2023 to Jun 2, 2023
- Other offices · 0 to 1Feb 1, 2023 to Jun 2, 2023
- Private funds · unset to 1Feb 1, 2023 to Jun 2, 2023
- Discretionary RAUM · $0 to $1.4MFeb 1, 2023 to Jun 2, 2023
- HNW RAUM · unset to 1300000.0Feb 1, 2023 to Jun 2, 2023
- Non-discretionary RAUM · $7.2M to $0Feb 1, 2023 to Jun 2, 2023
- Pooled vehicle RAUM · unset to 100000.0Feb 1, 2023 to Jun 2, 2023
- RAUM · $7.2M to $1.4MFeb 1, 2023 to Jun 2, 2023
- Advisory activities · 1 to 3Jan 27, 2022 to Feb 1, 2023
- Employees · 3 to 2Jan 27, 2022 to Feb 1, 2023
- Financial planning clients · unset to 0Jan 27, 2022 to Feb 1, 2023
- Non-discretionary RAUM · $10.3M to $7.2MJan 27, 2022 to Feb 1, 2023
- RAUM · $10.3M to $7.2MJan 27, 2022 to Feb 1, 2023
- Non-discretionary RAUM · $12.1M to $10.3MAug 12, 2021 to Jan 27, 2022
- RAUM · $12.1M to $10.3MAug 12, 2021 to Jan 27, 2022
- Advisory employees · 1 to 2May 6, 2021 to Aug 11, 2021
- Employees · 2 to 3May 6, 2021 to Aug 11, 2021
- State-registered IARs · 1 to 2May 6, 2021 to Aug 11, 2021
- Non-discretionary RAUM · $11.5M to $12.1MMay 6, 2021 to Aug 11, 2021
- RAUM · $11.5M to $12.1MMay 6, 2021 to Aug 11, 2021
- Non-discretionary RAUM · $10.2M to $11.5MMar 10, 2021 to May 6, 2021
- RAUM · $10.2M to $11.5MMar 10, 2021 to May 6, 2021
- Pooled vehicle clients · 1.0 to unsetNov 20, 2020 to Mar 10, 2021
- Assets in custody · 1509963.0 to unsetNov 20, 2020 to Mar 10, 2021
- Custody of client assets · true to falseNov 20, 2020 to Mar 10, 2021
- Employees · 1 to 2Nov 20, 2020 to Mar 10, 2021
- State-registered IARs · 0 to 1Nov 20, 2020 to Mar 10, 2021
- Private funds · 1 to unsetNov 20, 2020 to Mar 10, 2021
- Discretionary RAUM · $1.5M to $0Nov 20, 2020 to Mar 10, 2021
- Non-discretionary RAUM · $0 to $10.2MNov 20, 2020 to Mar 10, 2021
- Pooled vehicle RAUM · 1509963.0 to unsetNov 20, 2020 to Mar 10, 2021
- RAUM · $1.5M to $10.2MNov 20, 2020 to Mar 10, 2021
Signals
2 dated events
- Lars Cianciolo left Upholdings for Lmcg Investments, Llc (registered 2026-01-13)Aug 2, 2024 · Advisor changed firm · fact
- Upholdings filed its initial SEC registration (Form ADV)Oct 12, 2020 · 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/upholdingsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- upholdings.comreportedpublic record, Form ADV, Sep 17, 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
- $700,000derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026