# 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.

- CRD: 315427
- Also doing business as: UPTOWN ADVISORS
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Vancouver, WA
- Filing period: October 2026
- Form ADV filing dated: January 12, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/315427
- AdvisorCensus page: https://advisorcensus.com/firm/uta-llc-vancouver-wa-315427

## Quick answers

**How 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); 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.

**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

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

### Fees and minimums (Form ADV Part 2A brochure dated January 12, 2026)

- Asset-based fee: 1% to 2% a year (a range, as the brochure states it)

> 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)

> 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.

- Hourly rate: $200 to $500 an hour (Financial planning services)

> 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.

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: $214,570,738
- Discretionary: $183,184,173
- Non-discretionary: $31,386,565

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 59 | $27,334,919 |
| High net worth individuals | 43 | $183,754,754 |
| 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 | 1 | $3,481,065 |
| Other | 0 | $0 |

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

### Firm details
- Registered since: 2021 (5 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NV, OR, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [uptownadv.com](https://uptownadv.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $107,154,187 | 3 | September 1, 2021 |
| October 2022 | $120,753,420 | 2 | February 10, 2022 |
| October 2023 | $98,123,506 | 2 | January 23, 2023 |
| October 2024 | $144,700,144 | 2 | March 15, 2024 |
| October 2025 | $186,732,601 | 2 | February 6, 2025 |
| October 2026 | $214,570,738 | 2 | January 12, 2026 |

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.

## Changes in the filing (last 12 months)

### February 2026
- Regulatory assets under management went from $186,732,601 to $214,570,738 (+15%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. UTA LLC (CRD 315427): Form ADV filing data as of October 2026.