{
  "crd_number": 335362,
  "slug": "tradeup-wealth-management-inc-new-york-ny-335362",
  "primary_business_name": "TRADEUP WEALTH MANAGEMENT, INC.",
  "legal_name": "TRADEUP WEALTH MANAGEMENT, INC.",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "120-Day Approval",
  "registration_date": "2026-06-17",
  "years_registered": 0,
  "period": "2026-10-01",
  "filing_date": "2026-05-11",
  "carried_forward": false,
  "raum_total": 0.0,
  "raum_discretionary": 0.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 5,
  "advisory_employees": 5,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": null,
      "count": 0
    },
    "charitable": {
      "raum": null,
      "count": 0
    },
    "individuals": {
      "raum": null,
      "count": 0
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": null,
      "count": 0
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": null,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": null,
      "count": 0
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": null,
      "count": 0
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "CA",
    "FL",
    "NJ",
    "NY"
  ],
  "websites": [
    "https://facebook.com/tradeupapp",
    "https://linkedin.com/company/tradeup-securities-inc",
    "https://linkedin.com/company/ustigersecurities",
    "https://tradeup.com",
    "https://twitter.com/TradeUP_APP",
    "https://youtube.com/@tradeupofficial?feature=shared"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/335362",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "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?"
    },
    {
      "item": "11.H(2)",
      "question": "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)?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/tradeup-wealth-management-inc-new-york-ny-335362",
  "display_name": "Tradeup Wealth Management, Inc.",
  "summary": "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.",
  "citation": "AdvisorCensus. Tradeup Wealth Management, Inc. (CRD 335362): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Tradeup Wealth Management, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Tradeup Wealth Management, Inc. reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "What does Tradeup Wealth Management, Inc.'s brochure say about its fees?",
      "a": "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."
    },
    {
      "q": "Where is Tradeup Wealth Management, Inc. located?",
      "a": "Tradeup Wealth Management, Inc.'s principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is Tradeup Wealth Management, Inc. registered with the SEC or a state?",
      "a": "Tradeup Wealth Management, Inc. is an SEC-registered investment advisory firm, registered since 2026. Status as filed: 120-Day Approval. CRD 335362."
    },
    {
      "q": "How much does Tradeup Wealth Management, Inc. manage?",
      "a": "Tradeup Wealth Management, Inc. reports $0 in regulatory assets under management in its Form ADV filing dated May 11, 2026."
    },
    {
      "q": "Does Tradeup Wealth Management, Inc. report any disciplinary disclosures?",
      "a": "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"
    },
    {
      "q": "Does Tradeup Wealth Management, Inc. state an account minimum?",
      "a": "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.\""
    },
    {
      "q": "What changed in Tradeup Wealth Management, Inc.'s recent Form ADV filings?",
      "a": "In the July 2026 filing data: Newly registered with the SEC."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Newly registered with the SEC."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated December 5, 2025",
    "tiers": [],
    "flat_rate": "1% of assets a year",
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$10,000",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 1% of assets a year"
        ],
        "quotes": [
          "TradeUP Wealth Management charges an annualized advisory fee of 1% on all assets under management, billed monthly. The advisory fee is non -negotiable."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $10,000"
        ],
        "quotes": [
          "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."
        ]
      }
    ],
    "quotes": [
      "TradeUP Wealth Management charges an annualized advisory fee of 1% on all assets under management, billed monthly. The advisory fee is non -negotiable.",
      "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."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/tradeup-wealth-management-inc-new-york-ny-335362.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/335362",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}