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

Uptick Partners, LLC

Independent wealth managerNacogdoches, TexasCRD 324250SEC 801-127235websiteIAPD
Latest filing Jul 15, 2026
First filing on the tape Dec 22, 2022 · 29 filings
SEC status approved since Jan 20, 2023
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$62.5M
derived; firm RAUM over IAPD count
Employees
25
25 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.1B as of Jul 15, 2026
Mar 28, 2024$399M then
HNW client RAUM$784M as of Jul 15, 2026
Mar 28, 2024$346M then
State-registered IARs (5.B.3)15 as of Jul 15, 2026
Mar 28, 20245 then
Employees (5.A)25 as of Jul 15, 2026
Mar 28, 20245 then
Private funds: no history
RAUM +55% over the last fiscal yearIARs 7 to 15offices 2 to 8
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
RAUM per advisor
$62.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
67derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$273,590derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.9derived9 offices incl. principal (1.F.5)
RAUM growth, one year
+55%derivedbetween the last two annual amendments
Advisor growth, one year
+114%derivedItem 5.B.3 between annual amendments
Client growth, one year
+59%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$3.5M, 11 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$784M74%
  • Individuals$276M26%
  • Corporations and businesses$1.7M0.2%
  • Charitable organizations$661,2030.1%
Individual clients
760reported
HNW clients
375reported
Pension plan clients
0reported
Charitable clients
3reported
Accounts
3,886reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$3.5M for 11 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Jason Michael BarberCertified Financial PlannerNacogdoches, TxMar 3, 202315 y1
Steven Wayne BarberCertified Financial PlannerNacogdoches, TxMar 3, 202334 y1
Taylor PankratzCertified Financial PlannerNacogdoches, TxMar 3, 202310 y2
Debra Lynn FloydNacogdoches, TxJul 26, 202325 y0
Jonathan DvorakCertified Financial PlannerNacogdoches, Tx Jul 3, 202416 y1
John David SideryCertified Financial PlannerNacogdoches, Tx Feb 20, 202511 y2
Matthew Edwin FitzgeraldCertified Financial PlannerSedona, Az Apr 3, 202510 y1
Jared DavisNacogdoches, Tx Jun 30, 202511 y0
James Howell HenryCertified Financial PlannerSummerville, Ga Oct 20, 202516 y1
Mitchell Lane SmithCertified Financial PlannerNacogdoches, Tx Nov 3, 202512 y1
Kyle Edwin HoganCertified Financial PlannerNacogdoches, Tx Nov 3, 202513 y2
Emily Brynn MooreNacogdoches, TxJan 5, 202611 y0
Paul MeredithNacogdoches, TxMar 17, 202612 y0
Zulma PettyCertified Financial PlannerNacogdoches, Tx Mar 18, 202614 y1
Alex S NikulinCertified Financial PlannerNacogdoches, Tx May 5, 202619 y3
Connor VisserNacogdoches, Tx May 18, 202610 y1
Scott David WykoffNacogdoches, Tx Aug 3, 202610 y1
Advisor movement
0 left, 7 joined in 12 months
net +7 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Michael Jason Barber · Managing Member, Chief Executive Officer, Chief Compliance Officer And Foundercontrol
      since 03/2023 · owns less than 5%
    • Wayne Steven Barber · Managing Member, Chairman And Foundercontrol
      since 03/2023 · owns less than 5%
    • Taylor Pankratz · Managing Member, Chief Operating Officer And Foundercontrol
      since 03/2023 · owns less than 5%
    Entity owners
    • Barber Family Ventures, Inc · Owner
      direct · owns 50% to 75%
    • Eaglestorm, Inc · Owner
      direct · owns 25% to 50%
    • Pankratz Partners, Inc · Owner
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Nacogdoches, Tx · principal1790
    Cullman, Al200
    Summerville, Ga220
    Westwood, Ks220
    Offices
    Schedule D 1.F, the 25 largest
    • Nacogdoches, TX5 employees
    • Cullman, AL1 employees
    ADV anomalies
    4 against comparable advisers; where to look, not conclusions
    • account count surgeChange between filings · filing Mar 24, 2026
      accounts (Item 5.F.2.f) moved from 2,583.0 to 3,886.0 (+50.0%) between the annual amendments of 2025-04-30 and 2026-03-24; the peer median change was +6.0% (1206 comparable advisers, 92.0th percentile of changes)
      peers: independent wealth managers, $1B to $5B (1,206) · 92% percentile
    • advisor count surgeChange between filings · filing Mar 24, 2026
      advisory representatives (Item 5.B.3) moved from 7.0 to 15.0 (+114.0%) between the annual amendments of 2025-04-30 and 2026-03-24; the peer median change was 0.0% (999 comparable advisers, 99.0th percentile of changes)
      peers: independent wealth managers, $1B to $5B (999) · 99% percentile
    • client count surgeChange between filings · filing Mar 24, 2026
      individual and HNW clients (Item 5.D) moved from 713.0 to 1,135.0 (+59.0%) between the annual amendments of 2025-04-30 and 2026-03-24; the peer median change was +5.0% (1132 comparable advisers, 97.0th percentile of changes)
      peers: independent wealth managers, $1B to $5B (1,132) · 97% percentile
    • RAUM up 50 %Change between filings · filing Mar 24, 2026
      RAUM (Item 5.F) moved from $688,095,249 to $1,063,169,479 (+55.0%) between the annual amendments of 2025-04-30 and 2026-03-24; the peer median change was +17.0% (1297 comparable advisers, 94.0th percentile of changes)
      peers: independent wealth managers, $1B to $5B (1,297) · 94% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Other offices · 6 to 8
      Mar 24, 2026 to Jul 15, 2026
    • Accounts · 2,583 to 3,886
      Jan 12, 2026 to Mar 24, 2026
    • Advisory employees · 7 to 25
      Jan 12, 2026 to Mar 24, 2026
    • HNW clients · 270 to 375
      Jan 12, 2026 to Mar 24, 2026
    • Individual clients · 443 to 760
      Jan 12, 2026 to Mar 24, 2026
    • Assets in custody · $3.1M to $3.5M
      Jan 12, 2026 to Mar 24, 2026
    • Employees · 7 to 25
      Jan 12, 2026 to Mar 24, 2026
    • Financial planning clients · 1-10 to 0
      Jan 12, 2026 to Mar 24, 2026
    • State-registered IARs · 7 to 15
      Jan 12, 2026 to Mar 24, 2026
    • Other offices · 5 to 6
      Jan 12, 2026 to Mar 24, 2026
    • Discretionary RAUM · $688M to $1.1B
      Jan 12, 2026 to Mar 24, 2026
    • HNW RAUM · $544M to $784M
      Jan 12, 2026 to Mar 24, 2026
    • Individual RAUM · $142M to $276M
      Jan 12, 2026 to Mar 24, 2026
    • RAUM · $688M to $1.1B
      Jan 12, 2026 to Mar 24, 2026
    • Other offices · 3 to 5
      Dec 2, 2025 to Jan 12, 2026
    • Other offices · 2 to 3
      Aug 11, 2025 to Nov 25, 2025
    • Financial planning clients · 1-10 to 1-10
      Apr 30, 2025 to Jul 21, 2025
    • Other offices · 3 to 2
      Feb 20, 2025 to Apr 30, 2025
    • Accounts · 412 to 2,583
      Dec 3, 2024 to Feb 20, 2025
    • Advisory employees · 6 to 7
      Dec 3, 2024 to Feb 20, 2025
    • Charity clients · unset to 3.0
      Dec 3, 2024 to Feb 20, 2025
    • Corporate clients · 0 to 1
      Dec 3, 2024 to Feb 20, 2025
    • HNW clients · 202 to 270
      Dec 3, 2024 to Feb 20, 2025
    • Individual clients · 207 to 443
      Dec 3, 2024 to Feb 20, 2025
    • Assets in custody · $3.3M to $3.1M
      Dec 3, 2024 to Feb 20, 2025
    • Employees · 6 to 7
      Dec 3, 2024 to Feb 20, 2025
    • State-registered IARs · 6 to 7
      Dec 3, 2024 to Feb 20, 2025
    • Other offices · 2 to 3
      Dec 3, 2024 to Feb 20, 2025
    • Discretionary RAUM · $399M to $688M
      Dec 3, 2024 to Feb 20, 2025
    • HNW RAUM · $346M to $544M
      Dec 3, 2024 to Feb 20, 2025
    • Individual RAUM · $52.2M to $142M
      Dec 3, 2024 to Feb 20, 2025
    • RAUM · $399M to $688M
      Dec 3, 2024 to Feb 20, 2025
    • Business name · HOLISTIC PLANNING, LLC to UPTICK PARTNERS, LLC
      May 20, 2024 to Jul 3, 2024
    • Other offices · 1 to 2
      May 20, 2024 to Jul 3, 2024
    • Related insurance company · false to true
      May 20, 2024 to Jul 3, 2024
    • Advisory employees · 5 to 6
      Jul 3, 2024 to Jul 3, 2024
    • Employees · 5 to 6
      Jul 3, 2024 to Jul 3, 2024
    • State-registered IARs · 5 to 6
      Jul 3, 2024 to Jul 3, 2024
    • Legal name · HOLISTIC PLANNING, LLC to UPTICK PARTNERS, LLC
      May 16, 2024 to May 16, 2024
    • Accounts · 1,120 to 412
      Mar 8, 2024 to Mar 28, 2024
    Signals
    11 dated events
    • Uptick Partners, Llc reported RAUM $1.1B, up 55% from $688.1M (2026-01-12 to 2026-03-24)
      Mar 24, 2026 · RAUM change · derived
    • 2 advisors left Buttonwood Financial Group, LLC (Kansas City, MO) for Uptick Partners, LLC on the same day
      Dec 5, 2025 · Team lift-out · derived
    • Uptick Partners, Llc reported RAUM $688.1M, up 73% from $398.6M (2024-12-03 to 2025-02-20)
      Feb 20, 2025 · RAUM change · derived
    • Joshua Wardle left Uptick Partners, Llc for Raymond James Financial Services Advisors, Inc (registered 2024-08-30)
      Aug 30, 2024 · Advisor changed firm · fact
    • Uptick Partners, Llc reported RAUM $398.6M, up 58% from $251.8M (2024-03-08 to 2024-03-28)
      Mar 28, 2024 · RAUM change · derived
    • 3 advisors left Edward Jones (Nacogdoches, TX) for Uptick Partners, LLC a day apart
      Mar 6, 2023 · Team lift-out · derived
    • Taylor Pankratz (Managing Member, Chief Operating Officer And Founder) appeared on Schedule A of Uptick Partners, Llc
      Mar 3, 2023 · Control person joined · fact
    • Michael Jason Barber (Managing Member, Chief Executive Officer, Chief Compliance Officer And Founder) appeared on Schedule A of Uptick Partners, Llc
      Mar 3, 2023 · Control person joined · fact
    • Adam Daniel Bernstein (Chief Compliance Officer) no longer on Schedule A of Uptick Partners, Llc (listed 2022-12-22, absent 2023-03-03)
      Mar 3, 2023 · Control person left · inference
    • Wayne Steven Barber (Managing Member, Chairman And Founder) appeared on Schedule A of Uptick Partners, Llc
      Mar 3, 2023 · Control person joined · fact
    • Baxter Advisors, Llc filed its initial SEC registration (Form ADV)
      Dec 22, 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
    Firm profile
    linkedin.com/company/holistic-planningreportedpublic record, Form ADV, Sep 17, 2026
    Firm profile
    linkedin.com/company/uptick-partnersreportedpublic record, Form ADV, Sep 17, 2026
    Website
    uptickpartners.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    (936) 800-0800reportedpublic record, Form ADV, Jul 15, 2026
    Team page
    holisticplanning.com/advisorsreportedpublished by the firm, firm site, Sep 15, 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
    $62.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026