SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Uptown Capital Advisors
Dallas, TX
Uptown Financial Advisors LLC, CRD 171401
Firm filing updated March 6, 2026 ·
- $153.8MAssets
- 140Clients
- 2Advisory staff
- 250Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals92
- Individuals44
- Charities4
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 44 | $11.6 million |
| High net worth individuals | 92 | $137.1 million |
| Charitable organizations | 4 | $5.1 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$153.8 million
- Accounts250
- DiscretionaryAll accounts
People
- Employees2
- Advisory staff2
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients11 to 25
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Uptown Financial Advisors LLC SEC-registered investment advisor. CRD 171401, SEC file 801-132876.
- Registered with the SEC as an investment advisor (status date on record: May 28, 2025).
Is Uptown Capital Advisors a fiduciary?
Short answer: Uptown Capital Advisors is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.