# 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. - CRD: 335362 - Filed as: TRADEUP WEALTH MANAGEMENT, INC. - Registration: SEC-registered investment adviser (status as filed: 120-Day Approval) - Location: New York, NY - Filing period: October 2026 - Form ADV filing dated: May 11, 2026 - SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/335362 - AdvisorCensus page: https://advisorcensus.com/firm/tradeup-wealth-management-inc-new-york-ny-335362 ## Quick answers **How 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 ### Compensation (Item 5.E) - A percentage of assets under your management ### Fees and minimums (Form ADV Part 2A brochure dated December 5, 2025) - Asset-based fee: 1% of assets a year > 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 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 brochure. Fees can differ by service and may be negotiable. ### Regulatory assets under management (Item 5.F) - Total: $0 - Discretionary: $0 - Non-discretionary: $0 ### Clients (Item 5.D) | Client type | Clients | Assets | | --- | --- | --- | | Individuals (other than high net worth individuals) | 0 | Not reported | | High net worth individuals | 0 | Not reported | | Banking or thrift institutions | 0 | Not reported | | Investment companies | 0 | Not reported | | Business development companies | 0 | Not reported | | Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported | | Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | Not reported | | Charitable organizations | 0 | Not reported | | State or municipal government entities (including government pension plans) | 0 | Not reported | | Other investment advisers | 0 | Not reported | | Insurance companies | 0 | Not reported | | Sovereign wealth funds and foreign official institutions | 0 | Not reported | | Corporations or other businesses not listed above | 0 | Not reported | | Other | 0 | Not reported | ### Advisory services (Item 5.G) - Portfolio management for individuals and/or small businesses ### Firm details - Registered since: 2026 (0 years) - Employees: 5 total, 5 performing advisory functions - Wrap fee program participation: No - States registered or notice-filed: CA, FL, NJ, NY - Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11. ### Item 11 questions answered yes - 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? - 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. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/335362 ### Websites listed on Form ADV (Item 1.I) - tradeup.com - Facebook @tradeupapp - LinkedIn @tradeup-securities-inc - LinkedIn @ustigersecurities - X @TradeUP_APP - YouTube @tradeupofficial ## Changes in the filing (last 12 months) ### July 2026 - Newly registered with the SEC. ## Source Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Tradeup Wealth Management, Inc. (CRD 335362): Form ADV filing data as of October 2026.