AdvisorCensus / Financial advisors / New York / New York / Tradeup Wealth Management, Inc.
Tradeup Wealth Management, Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 2026, reporting under $25 million in regulatory assets under management in its Form ADV filing dated May 11, 2026.
Quick answers
From the filingHow is Tradeup Wealth Management, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Tradeup Wealth Management, Inc. reports these compensation arrangements: a percentage of assets under its management.
What does Tradeup Wealth Management, Inc.'s brochure say about its fees?
Its Form ADV Part 2A brochure dated December 5, 2025 states: Asset-based fee: 1% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Tradeup Wealth Management, Inc. located?
Tradeup Wealth Management, Inc.'s principal office is in New York, NY, according to its Form ADV.
Is Tradeup Wealth Management, Inc. registered with the SEC or a state?
Tradeup Wealth Management, Inc. is an SEC-registered investment advisory firm, registered since 2026. Status as filed: 120-Day Approval. CRD 335362.
How much does Tradeup Wealth Management, Inc. manage?
Tradeup Wealth Management, Inc. reports $0 in regulatory assets under management in its Form ADV filing dated May 11, 2026.
Does Tradeup Wealth Management, Inc. report any disciplinary disclosures?
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.H(2) (pending civil proceeding). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/335362
Does Tradeup Wealth Management, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated December 5, 2025 says: "The minimum amount required to open and maintain an account is $10,000. Clients must deposit an initial amount greater than the minimum and cannot withdraw an amount that would bring the account balance below the minimum."
What changed in Tradeup Wealth Management, Inc.'s recent Form ADV filings?
In the July 2026 filing data: Newly registered with the SEC.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 1% of assets a year
The brochure's wording
TradeUP Wealth Management charges an annualized advisory fee of 1% on all assets under management, billed monthly. The advisory fee is non -negotiable.
Account minimum: $10,000
The brochure's wording
The minimum amount required to open and maintain an account is $10,000. Clients must deposit an initial amount greater than the minimum and cannot withdraw an amount that would bring the account balance below the minimum.
As stated in the firm's Form ADV Part 2A brochure dated December 5, 2025. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$0 as of October 2026, filing dated May 11, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: 120-Day Approval.
- Registered since
- 2026 (0 years)
- Employees
- Total: 5. Performing investment advisory functions: 5.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
4 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 112 Reports 2 disclosure items on Form ADV Item 11. View on IAPD.
Questions answered yes on this filing
Regulatory matters Items 11.C to 11.G
- 11.D(2) Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
Civil court matters Item 11.H
- 11.H(2) Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?
Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 months- July 2026
- Newly registered with the SEC.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Tradeup Wealth Management, Inc. (CRD 335362): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/tradeup-wealth-management-inc-new-york-ny-335362