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
Upper90
Asset manager (funds and pooled vehicles)Providence, Rhode IslandCRD 304179SEC 801-119170websiteIAPD
Legal name Upper90 Capital Management, LP
Latest filing Mar 26, 2026
First filing on the tape Jun 28, 2020 · 12 filings
SEC status approved since Aug 6, 2020
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
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
18
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
31
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.1B as of Mar 26, 2026
Mar 31, 2021$449M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 31, 20210 then
Employees (5.A)18 as of Mar 26, 2026
Mar 31, 202119 then
Private funds31 as of Mar 26, 2026
Mar 31, 202116 then
RAUM +20% over the last fiscal year+1.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $35.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.1B, 31 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 31reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 31 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
38 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Upper90 Fund III Parallel Master, LP | Private Equity Fund | $362M | 345 | Mar 27, 2024 |
| Upper90 Fund II, LP | Hedge Fund | $187M | 308 | Mar 31, 2021 |
| Upper90 Thrasio, LLC | Private Equity Fund | $67.9M | 41 | Jun 10, 2019 |
| Upper90 Thrasio Vii, LLC | Private Equity Fund | $67.6M | 162 | Mar 31, 2021 |
| Upper90 Thrasio III Spv LLC | Private Equity Fund | $63.5M | 40 | Mar 30, 2020 |
| Upper90 Thrasio V Spv LLC | Private Equity Fund | $51.1M | 59 | Mar 30, 2022 |
| Upper90 Ecommerce Opportunities Fund, LP | Private Equity Fund | $48.8M | 119 | Mar 30, 2022 |
| Upper90 Thrasio IV LLC | Private Equity Fund | $40.6M | 13 | Jun 28, 2020 |
| Thrasio Acquisition Partners II LLC | Private Equity Fund | $40.0M | 34 | Mar 30, 2022 |
| Upper90 Fund, LP | Private Equity Fund | $34.2M | 103 | Jun 10, 2019 |
| Upper90 Loan Spv I LLCno longer reported | Private Equity Fund | $30.2M | 91 | Mar 31, 2021 |
| Upper90 Crusoe II Spv, LLC | Private Equity Fund | $26.8M | 100 | Mar 30, 2022 |
| Elevate Acquisition IV S LLC | Private Equity Fund | $23.3M | 98 | Mar 30, 2022 |
| Upper90 Thrasio Ix Spv LLC | Private Equity Fund | $17.6M | 9 | Mar 30, 2022 |
| Upper90 Fund III, LP | Private Equity Fund | $16.6M | 238 | Mar 28, 2023 |
| Elevate Acquisition Vii S LLC | Private Equity Fund | $13.2M | 1 | Mar 30, 2022 |
| Upper90 Crusoe Equity II Spv LLC | Private Equity Fund | $11.6M | 31 | Mar 31, 2021 |
| Upper90 Crusoe Equity III Spv LLC | Private Equity Fund | $10.3M | 33 | Mar 30, 2022 |
| Upper90 Crusoe Equity Spv LLC | Private Equity Fund | $10.3M | 34 | Mar 30, 2020 |
| Upper90 Crusoe Loan Spv LLC | Private Equity Fund | $10.3M | 0 | Mar 27, 2024 |
| Upper90 Heroes Equity Spv LLC | Private Equity Fund | $9.9M | 67 | Mar 28, 2023 |
| Upper90 Crusoe Equity IV Spv LLC | Private Equity Fund | $8.9M | 47 | Mar 28, 2023 |
| Upper90 Octane Equity Spv LLC | Private Equity Fund | $8.2M | 16 | Mar 31, 2021 |
| Upper90 Beacon Equity Spv LLC | Private Equity Fund | $8.0M | 74 | Mar 30, 2022 |
| Upper90 Octane Equity Spv II LLC | Private Equity Fund | $7.3M | 45 | Mar 30, 2022 |
| Upper90 Acquco I S LLC | Private Equity Fund | $6.7M | 38 | Mar 30, 2022 |
| Upper90 Thrasio Viii Spv LLC | Private Equity Fund | $6.0M | 51 | Mar 30, 2022 |
| Crusoe Bridge Equity Spv LLC | Private Equity Fund | $4.6M | 41 | Mar 27, 2024 |
| Upper90 Clearfund I Spv, L.P.no longer reported | Private Equity Fund | $3.8M | 60 | Jun 10, 2019 |
| Upper90 Clutch Equity Spv II LLC | Private Equity Fund | $2.8M | 26 | Mar 30, 2022 |
| Upper90 Clutch Equity Spv LLC | Private Equity Fund | $2.1M | 51 | Mar 31, 2021 |
| Upper90 Octane, LLC | Private Equity Fund | $1.5M | 23 | Mar 30, 2020 |
| Elevate Acquisition Vi S LLC | Private Equity Fund | $844,043 | 1 | Mar 30, 2022 |
| Upper90 Highfive Spv LLC | Private Equity Fund | $328,157 | 32 | Mar 30, 2022 |
| Upper90 Magic Car Wash Equity Spv LLC | Private Equity Fund | $325,998 | 6 | Mar 30, 2022 |
| Upper90 Crusoe Spv, LLC | Private Equity Fund | $247,539 | 44 | Jun 28, 2020 |
| Upper90 Thrasio II, LLCno longer reported | Private Equity Fund | $98,554 | 82 | Mar 30, 2020 |
| Upper90 Domio Spv, LLCno longer reported | Private Equity Fund | $9,052 | 11 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- Jason Finger · Chairman And Limited Partnercontrolsince 11/2021 · owns 10% to 25%
- Carroll William Geist · Managing Partnercontrolsince 01/2024 · owns 10% to 25%
- Kogod William Libby · Chief Executive Office, Limited Partnercontrolsince 04/2018 · owns 50% to 75%
- Nmn Gregory Vilkin · Chief Compliance Officer / Chief Financial Officercontrolsince 03/2022 · owns less than 5%
- Kogod William Libby · Managing Membercontrolsince 01/2020 · owns 50% to 75% of Upper90 Holdings LLC
Entity owners
- Upper90 Holdings LLC · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- Upper90 Fund III Gp, LLCpooled vehicle sponsorn
- Upper90 Partners Equity Gp, LLCpooled vehicle sponsorn
- Upper90 Partners Equity Spv Gp II LLCpooled vehicle sponsorn
- Upper90 Partners Equity Spv Gp III LLCpooled vehicle sponsorn
- Upper90 Partners Equity Spv Gp LLCpooled vehicle sponsorn
- Upper90 Partners Gp II, LLCpooled vehicle sponsorn
- Upper90 Partners Gp, LLCpooled vehicle sponsorn
- Upper90 Partners Spv Gp II, LLCpooled vehicle sponsorn
- Upper90 Partners Spv Gp III, LLCpooled vehicle sponsorn
- Upper90 Partners Spv Gp IV, LLCpooled vehicle sponsorn
- Upper90 Partners Spv Gp, LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY7 employees
- Baltimore, MD1 employees
What changed
consecutive filings, newest first
- Accounts · 29 to 31Mar 27, 2025 to Mar 26, 2026
- Advisory employees · 9 to 11Mar 27, 2025 to Mar 26, 2026
- Pooled vehicle clients · 29 to 31Mar 27, 2025 to Mar 26, 2026
- Assets in custody · $920M to $1.1BMar 27, 2025 to Mar 26, 2026
- Private funds · 29 to 31Mar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $920M to $1.1BMar 27, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $920M to $1.1BMar 27, 2025 to Mar 26, 2026
- RAUM · $920M to $1.1BMar 27, 2025 to Mar 26, 2026
- Accounts · 25 to 29Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 10 to 9Mar 27, 2024 to Mar 27, 2025
- Pooled vehicle clients · 25 to 29Mar 27, 2024 to Mar 27, 2025
- Assets in custody · $816M to $920MMar 27, 2024 to Mar 27, 2025
- Employees · 20 to 18Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Private funds · 25 to 29Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $816M to $920MMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $816M to $920MMar 27, 2024 to Mar 27, 2025
- RAUM · $816M to $920MMar 27, 2024 to Mar 27, 2025
- Accounts · 31 to 25Mar 28, 2023 to Mar 27, 2024
- Advisory employees · 12 to 10Mar 28, 2023 to Mar 27, 2024
- Pooled vehicle clients · 31 to 25Mar 28, 2023 to Mar 27, 2024
- Assets in custody · $1.0B to $816MMar 28, 2023 to Mar 27, 2024
- Other offices · 1 to 2Mar 28, 2023 to Mar 27, 2024
- Private funds · 31 to 25Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.0B to $816MMar 28, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.0B to $816MMar 28, 2023 to Mar 27, 2024
- RAUM · $1.0B to $816MMar 28, 2023 to Mar 27, 2024
- Advisory employees · 9 to 12Jun 21, 2022 to Mar 28, 2023
- Assets in custody · $0 to $1.0BJun 21, 2022 to Mar 28, 2023
- Employees · 22 to 20Jun 21, 2022 to Mar 28, 2023
- HQ city · NEW YORK to PROVIDENCEJun 21, 2022 to Mar 28, 2023
- HQ state · NY to RIJun 21, 2022 to Mar 28, 2023
- Other offices · 0 to 1Jun 21, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.0B to $1.0BJun 21, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $1.0B to $1.0BJun 21, 2022 to Mar 28, 2023
- RAUM · $1.0B to $1.0BJun 21, 2022 to Mar 28, 2023
- Related bank · true to falseJun 21, 2022 to Mar 28, 2023
- Accounts · 16 to 31Aug 25, 2021 to Mar 30, 2022
- Advisory employees · 8 to 9Aug 25, 2021 to Mar 30, 2022
- Pooled vehicle clients · 16 to 31Aug 25, 2021 to Mar 30, 2022
Signals
9 dated events
- Carroll William Geist (Managing Partner) appeared on Schedule A of Upper90Mar 27, 2024 · Control person joined · fact
- Upper90 reported RAUM $1.0B, up 126% from $448.6M (2021-08-25 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Jason Finger (Chairman And Limited Partner) appeared on Schedule A of Upper90Mar 30, 2022 · Control person joined · fact
- Nmn Gregory Vilkin (Chief Compliance Officer) appeared on Schedule A of Upper90Mar 30, 2022 · Control person joined · fact
- Michael Moreau (Chief Compliance Officer, Director Of Operations) no longer on Schedule A of Upper90 (listed 2021-08-25, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Alex Urdea (Chief Investment Officer, Limited Partner) no longer on Schedule A of Upper90 (listed 2021-08-11, absent 2021-08-25)Aug 25, 2021 · Control person left · inference
- Upper90 reported RAUM $448.6M, up 114% from $210.1M (2020-08-05 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Michael Moreau (Chief Compliance Officer, Director Of Operations) appeared on Schedule A of Upper90Mar 31, 2021 · Control person joined · fact
- Upper90 filed its initial SEC registration (Form ADV)Jun 28, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/upper90reportedpublic record, Form ADV, Sep 17, 2026
- Website
- upper90.ioreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (646) 979-0719reportedpublic record, Form ADV, Mar 26, 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
- Asset manager (funds and pooled vehicles)deriveda 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