← Directory
UPRIGHT FINANCIAL CORP
CRD 107303File 801-38340
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 30, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$98.0M
Bottom 25% of cohort (national)
Discretionary AUM
$98.0M
Clients
36
36 accounts
Employees
4
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Mar 1, 1991
- Principal office
- Not reported
- Phone
- 973-533-1818
- Website
- Not reported
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $98.0M
- Discretionary AUM
- $98.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 36
- Non-discretionary accounts
- 0
- Total accounts
- 36
- AUM per client
- $2.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 3 | $31.9M |
| Charitable organizations | Fewer than 5 | $1.2M |
| High net worth individuals | 12 | $38.1M |
| Pooled investment vehicles | 1 | $19.0M |
| Individuals (other than high net worth individuals) | 19 | $7.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Commissions
- Other (described) — PACKAGE FEE
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Portfolio management for other
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11G
- Q11C4
- Q11C5
- Q11H2
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 17, 2026 | Custody | false | true |
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.