← Directory
UP FINANCIAL USA INC.
CRD 326602File 801-128140
APPROVED
Filing as of May 29, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$4.1M
Bottom 25% of cohort (national)
Discretionary AUM
$4.1M
Clients
0
14 accounts
Employees
5
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- HQ
- Registration date
- Jun 20, 2023
- Principal office
- 396 11TH AVE SW, SUITE 1020, CALGARY, ALBERTA, T2R-0C5
- Phone
- 587-316-4070
- Website
- Not reported
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $4.1M
- Discretionary AUM
- $4.1M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 14
- Non-discretionary accounts
- 0
- Total accounts
- 14
- AUM per client
- —
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | Fewer than 5 | $3.3M |
| Individuals (other than high net worth individuals) | Fewer than 5 | $856K |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- 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
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| 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.