{
  "crd_number": 315427,
  "slug": "uta-llc-vancouver-wa-315427",
  "primary_business_name": "UTA LLC",
  "legal_name": "UTA LLC",
  "dbas": [
    "UPTOWN ADVISORS"
  ],
  "city": "Vancouver",
  "state": "WA",
  "country": "United States",
  "cbsa_code": "38900",
  "metro": {
    "cbsa_code": "38900",
    "common_name": "Portland",
    "msa_name": "Portland-Vancouver-Hillsboro, OR-WA",
    "path": "/advisors/or/portland"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2021-07-15",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-01-12",
  "carried_forward": false,
  "raum_total": 214570738.0,
  "raum_discretionary": 183184173.0,
  "raum_non_discretionary": 31386565.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 2,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 27334919.0,
      "count": 59
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 183754754.0,
      "count": 43
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 3481065.0,
      "count": 1,
      "fewer_than_5": true
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "NV",
    "OR",
    "WA"
  ],
  "websites": [
    "https://uptownadv.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/315427",
  "city_as_filed": "VANCOUVER",
  "url": "https://advisorcensus.com/firm/uta-llc-vancouver-wa-315427",
  "display_name": "UTA LLC",
  "summary": "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.",
  "citation": "AdvisorCensus. UTA LLC (CRD 315427): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is UTA LLC compensated?",
      "a": "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)."
    },
    {
      "q": "How much does UTA LLC charge?",
      "a": "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); Hourly rate: $200 to $500 an hour (Financial planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is UTA LLC located?",
      "a": "UTA LLC's principal office is in Vancouver, WA, according to its Form ADV."
    },
    {
      "q": "Is UTA LLC registered with the SEC or a state?",
      "a": "UTA LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 315427."
    },
    {
      "q": "How much does UTA LLC manage?",
      "a": "UTA LLC reports $214,570,738 in regulatory assets under management in its Form ADV filing dated January 12, 2026 (85% discretionary)."
    },
    {
      "q": "How have UTA LLC's assets and staff changed since 2021?",
      "a": "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."
    },
    {
      "q": "What types of clients does UTA LLC serve?",
      "a": "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)."
    },
    {
      "q": "Which custodians does UTA LLC use?",
      "a": "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."
    },
    {
      "q": "Does UTA LLC 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/315427"
    },
    {
      "q": "Does UTA LLC state an account minimum?",
      "a": "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.\""
    },
    {
      "q": "What changed in UTA LLC's recent Form ADV filings?",
      "a": "In the February 2026 filing data: Regulatory assets under management went from $186,732,601 to $214,570,738 (+15%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 107154187.0,
      "total_employees": 3,
      "filing_date": "2021-09-01"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 120753420.0,
      "total_employees": 2,
      "filing_date": "2022-02-10"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 98123506.0,
      "total_employees": 2,
      "filing_date": "2023-01-23"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 144700144.0,
      "total_employees": 2,
      "filing_date": "2024-03-15"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 186732601.0,
      "total_employees": 2,
      "filing_date": "2025-02-06"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 214570738.0,
      "total_employees": 2,
      "filing_date": "2026-01-12"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Regulatory assets under management went from $186,732,601 to $214,570,738 (+15%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated January 12, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": "1% to 2% a year",
    "stated_maximum": null,
    "account_minimum": "$25,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $200 to $500 an hour (Financial planning services)"
    ],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 1% to 2% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "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."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $25,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "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."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $200 to $500 an hour (Financial planning services)"
        ],
        "quotes": [
          "Financial planning services may be billed at an hourly or fixed fee, which is listed in your planning agreement and range from $200-$500 per hour."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": [
        1.0,
        2.0
      ],
      "max_pct": null,
      "account_minimum": 25000.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": null,
          "min": 200.0,
          "max": 500.0,
          "period": "hour",
          "service": "Financial planning services"
        }
      ]
    },
    "quotes": [
      "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.",
      "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.",
      "Financial planning services may be billed at an hourly or fixed fee, which is listed in your planning agreement and range from $200-$500 per hour."
    ],
    "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/uta-llc-vancouver-wa-315427.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 59,
      "fewer_than_5": false,
      "raum": 27334919.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 43,
      "fewer_than_5": false,
      "raum": 183754754.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 1,
      "fewer_than_5": true,
      "raum": 3481065.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "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/315427",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}