# Upper Basin Capital, LLC

> Upper Basin Capital, LLC is a state-registered investment advisory firm, registered since 2021, reporting under $25 million in regulatory assets under management in its Form ADV filing dated April 4, 2026.

- CRD: 312789
- Filed as: UPPER BASIN CAPITAL, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Colorado
- Filing period: October 2026
- Form ADV filing dated: April 4, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/312789
- AdvisorCensus page: https://advisorcensus.com/firm/upper-basin-capital-llc-312789

## Quick answers

**How is Upper Basin Capital, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Upper Basin Capital, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Upper Basin Capital, LLC registered with the SEC or a state?**
Upper Basin Capital, LLC is a state-registered investment advisory firm, registered since 2021. Status as filed: APPROVED. CRD 312789.

**How much does Upper Basin Capital, LLC manage?**
Upper Basin Capital, LLC reports $2,842,393 in regulatory assets under management in its Form ADV filing dated April 4, 2026 (100% discretionary).

**Does Upper Basin Capital, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/312789

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $2,842,393
- Discretionary: $2,842,393
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Fewer than 5 | $409,938 |
| High net worth individuals | Fewer than 5 | $2,432,455 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2021 (5 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Upper Basin Capital, LLC (CRD 312789): Form ADV filing data as of October 2026.