Upright Financial Corp
Registered investment adviser · CRD #107303
Form ADV data as of 2026-09-01Regulatory assets
$98.0 million
Total accounts
36
Employees
4
Disclosure events
4
Firm details
- Telephone: 973-533-1818
- SEC file number: 801-38340
- Most recent Form ADV filing: 2026-03-30
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 4 disclosure questions answered Yes, covering 4 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.
- Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $98.0 million |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $98.0 million |
| Discretionary accounts | 36 |
| Non-discretionary accounts | 0 |
| Total accounts | 36 |
| Regulatory assets under management attributable to non-U.S. persons | $20.3 million |
People
| Total employees (excluding clerical) | 4 |
| Employees performing investment advisory functions (including research) | 2 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 1 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 1 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends brokers or dealers to clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 19 | $7.7 million |
| High net worth individuals | 12 | $38.1 million |
| Investment companies | 3 | $31.9 million |
| Pooled investment vehicles (other than investment companies and BDCs) | 1 | $19.0 million |
| Charitable organizations | 1 | $1.2 million |