{
  "crd_number": 171401,
  "slug": "uptown-capital-advisors-dallas-tx-171401",
  "primary_business_name": "UPTOWN CAPITAL ADVISORS",
  "legal_name": "UPTOWN FINANCIAL ADVISORS LLC",
  "dbas": [],
  "city": "Dallas",
  "state": "TX",
  "country": "United States",
  "cbsa_code": "19100",
  "metro": {
    "cbsa_code": "19100",
    "common_name": "Dallas",
    "msa_name": "Dallas-Fort Worth-Arlington, TX",
    "path": "/advisors/tx/dallas"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2025-05-28",
  "years_registered": 1,
  "period": "2026-10-01",
  "filing_date": "2026-03-06",
  "carried_forward": false,
  "raum_total": 153813197.0,
  "raum_discretionary": 153813197.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 2,
  "advisory_employees": 2,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 5087864.0,
      "count": 4
    },
    "individuals": {
      "raum": 11583721.0,
      "count": 44
    },
    "high_net_worth_individuals": {
      "raum": 137141612.0,
      "count": 92
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "LA",
    "TX"
  ],
  "websites": [
    "https://facebook.com/uptowncapital",
    "https://linkedin.com/company/uptown-capital-advisors",
    "https://uptowncapital.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/171401",
  "city_as_filed": "DALLAS",
  "url": "https://advisorcensus.com/firm/uptown-capital-advisors-dallas-tx-171401",
  "display_name": "Uptown Capital Advisors",
  "summary": "Uptown Capital Advisors is an SEC-registered investment advisory firm in Dallas, TX, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 6, 2026.",
  "citation": "AdvisorCensus. Uptown Capital Advisors (CRD 171401): 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": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Uptown Capital Advisors compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Uptown Capital Advisors reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Uptown Capital Advisors located?",
      "a": "Uptown Capital Advisors' principal office is in Dallas, TX, according to its Form ADV."
    },
    {
      "q": "Is Uptown Capital Advisors registered with the SEC or a state?",
      "a": "Uptown Capital Advisors is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 171401."
    },
    {
      "q": "How much does Uptown Capital Advisors manage?",
      "a": "Uptown Capital Advisors reports $153,813,197 in regulatory assets under management in its Form ADV filing dated March 6, 2026 (100% discretionary)."
    },
    {
      "q": "How have Uptown Capital Advisors' assets and staff changed since 2025?",
      "a": "In the Form ADV data for Uptown Capital Advisors: Regulatory assets under management: $125,293,380 in the October 2025 data and $153,813,197 in the October 2026 data, up 23%. Total employees: 2 in October 2025 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Uptown Capital Advisors serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (92); individuals (other than high net worth individuals) (44); charitable organizations (4)."
    },
    {
      "q": "Which custodians does Uptown Capital Advisors use?",
      "a": "Uptown Capital Advisors' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Uptown Capital Advisors report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/171401"
    },
    {
      "q": "Does Uptown Capital Advisors state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 6, 2026 says: \"Account Minimum: Uptown Capital Advisors generally requires a $100,000 minimum for the management of accounts, but reserves the right to make exceptions on a case-by-case basis.\""
    },
    {
      "q": "What changed in Uptown Capital Advisors' recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $125,293,380 to $153,813,197 (+23%)."
    }
  ],
  "filing_history": [
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 125293380.0,
      "total_employees": 2,
      "filing_date": "2025-04-28"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 153813197.0,
      "total_employees": 2,
      "filing_date": "2026-03-06"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $125,293,380 to $153,813,197 (+23%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 6, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$100,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $100,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "Account Minimum: Uptown Capital Advisors generally requires a $100,000 minimum for the management of accounts, but reserves the right to make exceptions on a case-by-case basis."
        ]
      }
    ],
    "quotes": [
      "Account Minimum: Uptown Capital Advisors generally requires a $100,000 minimum for the management of accounts, but reserves the right to make exceptions on a case-by-case basis."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., 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/uptown-capital-advisors-dallas-tx-171401.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 44,
      "fewer_than_5": false,
      "raum": 11583721.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 92,
      "fewer_than_5": false,
      "raum": 137141612.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 4,
      "fewer_than_5": false,
      "raum": 5087864.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "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/171401",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}