{
  "crd_number": 107303,
  "slug": "upright-financial-corp-107303",
  "primary_business_name": "UPRIGHT FINANCIAL CORP",
  "legal_name": "UPRIGHT FINANCIAL CORP",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1991-03-01",
  "years_registered": 35,
  "period": "2026-10-01",
  "filing_date": "2026-03-30",
  "carried_forward": false,
  "raum_total": 98006867.0,
  "raum_discretionary": 98006867.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 4,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 1233906.0,
      "count": 1,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 7690142.0,
      "count": 19
    },
    "investment_companies": {
      "raum": 31937870.0,
      "count": 3
    },
    "high_net_worth_individuals": {
      "raum": 38125042.0,
      "count": 12
    },
    "pooled_investment_vehicles": {
      "raum": 19019907.0,
      "count": 1
    }
  },
  "compensation_types": [
    "commissions",
    "other",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 4,
  "states_registered": [
    "NJ"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107303",
  "disclosure_items": [
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.G",
      "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?"
    },
    {
      "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": null,
  "url": "https://advisorcensus.com/firm/upright-financial-corp-107303",
  "display_name": "Upright Financial Corp",
  "summary": "Upright Financial Corp is an SEC-registered investment advisory firm, registered since 1991, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.",
  "citation": "AdvisorCensus. Upright Financial Corp (CRD 107303): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Commissions",
    "Performance-based fees",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Pension consulting services",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Upright Financial Corp compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Upright Financial Corp reports these compensation arrangements: a percentage of assets under its management; commissions; performance-based fees; other."
    },
    {
      "q": "Is Upright Financial Corp registered with the SEC or a state?",
      "a": "Upright Financial Corp is an SEC-registered investment advisory firm, registered since 1991. Status as filed: Approved. CRD 107303."
    },
    {
      "q": "How much does Upright Financial Corp manage?",
      "a": "Upright Financial Corp reports $98,006,867 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)."
    },
    {
      "q": "How have Upright Financial Corp's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Upright Financial Corp: Regulatory assets under management: $68,398,009 in the October 2021 data and $98,006,867 in the October 2026 data, up 43%. Total employees: 4 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Upright Financial Corp serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (19); high net worth individuals (12); investment companies (3)."
    },
    {
      "q": "Which custodians does Upright Financial Corp use?",
      "a": "Upright Financial Corp's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Firstrade Securities Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Upright Financial Corp report any disciplinary disclosures?",
      "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.G (pending regulatory proceeding), 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/107303"
    },
    {
      "q": "Does Upright Financial Corp state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 30, 2026 says: \"In general, we require a minimum of $250,000 to open and maintain an investment portfolio.\""
    },
    {
      "q": "What changed in Upright Financial Corp's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $83,087,213 to $98,006,867 (+18%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 68398009.0,
      "total_employees": 4,
      "filing_date": "2021-01-15"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 94767430.0,
      "total_employees": 3,
      "filing_date": "2022-04-22"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 53594376.0,
      "total_employees": 3,
      "filing_date": "2023-07-20"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 62649585.0,
      "total_employees": 3,
      "filing_date": "2024-07-01"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 83087213.0,
      "total_employees": 4,
      "filing_date": "2025-05-29"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 98006867.0,
      "total_employees": 4,
      "filing_date": "2026-03-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $83,087,213 to $98,006,867 (+18%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 30, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$250,000",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $250,000"
        ],
        "quotes": [
          "In general, we require a minimum of $250,000 to open and maintain an investment portfolio."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 250000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "In general, we require a minimum of $250,000 to open and maintain an investment portfolio."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Firstrade Securities Inc.",
      "name_as_filed": "FIRSTRADE SECURITIES INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/upright-financial-corp-107303.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 19,
      "fewer_than_5": false,
      "raum": 7690142.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 12,
      "fewer_than_5": false,
      "raum": 38125042.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 3,
      "fewer_than_5": false,
      "raum": 31937870.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 1,
      "fewer_than_5": false,
      "raum": 19019907.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 1,
      "fewer_than_5": true,
      "raum": 1233906.0
    }
  ],
  "disclosure_line": "Reports 4 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/107303",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}