# Uptown Capital Advisors

> 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.

- CRD: 171401
- Filed as: UPTOWN CAPITAL ADVISORS
- Legal name: Uptown Financial Advisors LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Dallas, TX
- Filing period: October 2026
- Form ADV filing dated: March 6, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/171401
- AdvisorCensus page: https://advisorcensus.com/firm/uptown-capital-advisors-dallas-tx-171401

## Quick answers

**How is Uptown Capital Advisors compensated?**
On its Form ADV (Item 5.E, October 2026), Uptown Capital Advisors reports these compensation arrangements: a percentage of assets under its management.

**Where is Uptown Capital Advisors located?**
Uptown Capital Advisors' principal office is in Dallas, TX, according to its Form ADV.

**Is Uptown Capital Advisors registered with the SEC or a state?**
Uptown Capital Advisors is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 171401.

**How much does Uptown Capital Advisors manage?**
Uptown Capital Advisors reports $153,813,197 in regulatory assets under management in its Form ADV filing dated March 6, 2026 (100% discretionary).

**How have Uptown Capital Advisors' assets and staff changed since 2025?**
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.

**What types of clients does Uptown Capital Advisors serve?**
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).

**Which custodians does Uptown Capital Advisors use?**
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.

**Does Uptown Capital Advisors report any disciplinary disclosures?**
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

**Does Uptown Capital Advisors state an account minimum?**
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."

**What changed in Uptown Capital Advisors' recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $125,293,380 to $153,813,197 (+23%).

## 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 March 6, 2026)

- Account minimum: $100,000 (the brochure says it may be waived or negotiated)

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $153,813,197
- Discretionary: $153,813,197
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 44 | $11,583,721 |
| High net worth individuals | 92 | $137,141,612 |
| Charitable organizations | 4 | $5,087,864 |

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

### Firm details
- Registered since: 2025 (1 year)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: LA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- uptowncapital.com
- Facebook @uptowncapital
- LinkedIn @uptown-capital-advisors

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $125,293,380 | 2 | April 28, 2025 |
| October 2026 | $153,813,197 | 2 | March 6, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $125,293,380 to $153,813,197 (+23%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Uptown Capital Advisors (CRD 171401): Form ADV filing data as of October 2026.