# Upstream Financial Advisors LLC

> Upstream Financial Advisors LLC is a state-registered investment advisory firm, registered since 2024, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated August 5, 2026.

- CRD: 329292
- Filed as: UPSTREAM FINANCIAL ADVISORS LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Minnesota
- Filing period: October 2026
- Form ADV filing dated: August 5, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/329292
- AdvisorCensus page: https://advisorcensus.com/firm/upstream-financial-advisors-llc-329292

## Quick answers

**How is Upstream Financial Advisors LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Upstream Financial Advisors LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Is Upstream Financial Advisors LLC registered with the SEC or a state?**
Upstream Financial Advisors LLC is a state-registered investment advisory firm, registered since 2024. Status as filed: APPROVED. CRD 329292.

**How much does Upstream Financial Advisors LLC manage?**
Upstream Financial Advisors LLC reports $25,809,178 in regulatory assets under management in its Form ADV filing dated August 5, 2026 (100% discretionary).

**What types of clients does Upstream Financial Advisors LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (24); high net worth individuals (7).

**Does Upstream Financial Advisors 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/329292

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $25,809,178
- Discretionary: $25,809,178
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 24 | $12,409,927 |
| High net worth individuals | 7 | $13,399,251 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

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

### Firm details
- Registered since: 2024 (2 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MN
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- upstreamfa.com
- LinkedIn @upstream-financial-advisors

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Upstream Financial Advisors LLC (CRD 329292): Form ADV filing data as of October 2026.