AdvisorCensus / Financial advisors / Oregon / Portland / UTA LLC
UTA LLC is an SEC-registered investment advisory firm in Vancouver, WA, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 12, 2026.
Quick answers
From the filingHow is UTA LLC compensated?
On its Form ADV (Item 5.E, October 2026), UTA LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
How much does UTA LLC charge?
Its Form ADV Part 2A brochure dated January 12, 2026 states: Asset-based fee: 1% to 2% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is UTA LLC located?
UTA LLC's principal office is in Vancouver, WA, according to its Form ADV.
Is UTA LLC registered with the SEC or a state?
UTA LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 315427.
How much does UTA LLC manage?
UTA LLC reports $214,570,738 in regulatory assets under management in its Form ADV filing dated January 12, 2026 (85% discretionary).
How have UTA LLC's assets and staff changed since 2021?
In the Form ADV data for UTA LLC: Regulatory assets under management: $107,154,187 in the October 2021 data and $214,570,738 in the October 2026 data, up 100%. Total employees: 3 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does UTA LLC serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (59); high net worth individuals (43); corporations or other businesses not listed above (1).
Which custodians does UTA LLC use?
UTA LLC's 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 UTA LLC 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/315427
Does UTA LLC state an account minimum?
Its Form ADV Part 2A brochure dated January 12, 2026 says: "UTA, LLC has a household balance minimum of $25,000. We will make exceptions to this minimum under certain circumstances." "UTA, LLC has a $25,000 minimum account size to open an account. We will make exceptions to this minimum under certain circumstances."
What changed in UTA LLC's recent Form ADV filings?
In the February 2026 filing data: Regulatory assets under management went from $186,732,601 to $214,570,738 (+15%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 1% to 2% a year (a range, as the brochure states it)
The brochure's wording
The fees charged generally vary between 1.00% and 2.00% of assets under management according to the amount of assets under management and the specific needs of the client; however, fees may be negotiable.
Account minimum: $25,000 (the brochure says it may be waived or negotiated)
The brochure's wording
UTA, LLC has a household balance minimum of $25,000. We will make exceptions to this minimum under certain circumstances.
UTA, LLC has a $25,000 minimum account size to open an account. We will make exceptions to this minimum under certain circumstances.
As stated in the firm's Form ADV Part 2A brochure dated January 12, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$214,570,738 as of October 2026, filing dated January 12, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Educational seminars/workshops
Registration and firm details
Items 1, 2, 5- Also doing business as
- UPTOWN ADVISORS
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2021 (5 years)
- Employees
- Total: 2. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $214,570,738 | 2 | January 12, 2026 |
| October 2025 | $186,732,601 | 2 | February 6, 2025 |
| October 2024 | $144,700,144 | 2 | March 15, 2024 |
| October 2023 | $98,123,506 | 2 | January 23, 2023 |
| October 2022 | $120,753,420 | 2 | February 10, 2022 |
| October 2021 | $107,154,187 | 3 | September 1, 2021 |
Regulatory assets under management: $107,154,187 in the October 2021 data and $214,570,738 in the October 2026 data, up 100%.
Total employees: 3 in October 2021 and 2 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- February 2026
- Regulatory assets under management went from $186,732,601 to $214,570,738 (+15%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. UTA LLC (CRD 315427): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/uta-llc-vancouver-wa-315427