Uptown Financial Advisors LLC
● SEC registered since 2025CRD 171401SEC# 801-132876Dallas, TX
Reg. AUM
$153.8M
Employees
2
Accounts
250
Location
Dallas, TX
Uptown Financial Advisors LLC assets under management
Uptown Financial Advisors LLC is an investment advisory firm registered with the SEC based in Dallas, TX. The firm has been registered since 2025. It reports $153.8 million in regulatory assets under management and employs 2 people.
Uptown Financial Advisors LLC owners & executives
2 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Christopher James Carrie Control | Treasurer And Managing Member | 50-75% | 2014 |
| James Kemp Sawers Control | President, Chief Compliance Officer, Managing Member, Designated Officer | 50-75% | 2014 |
Frequently asked questions
How much does Uptown Financial Advisors LLC manage?
Uptown Financial Advisors LLC reports $153.8 million in regulatory assets under management on its Form ADV.
How many employees does Uptown Financial Advisors LLC have?
Uptown Financial Advisors LLC reports 2 employees.
Where is Uptown Financial Advisors LLC located?
Uptown Financial Advisors LLC is based in Dallas, TX and has been SEC-registered since 2025.
Does Uptown Financial Advisors LLC disclose fund performance?
Uptown Financial Advisors LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 2911 Turtle Creek Blvd, Suite 1100, Dallas, TX 75219 |
| Phone | 214-628-9508 |
| Fax | 214-269-7512 |
| Office hours | By Appointment |
| SEC region | Fort Worth Regional Office (FWRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$153.8M▲ 23%
Apr '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 83%
Larger than 17% of 16,271 advisers
EmployeesTop 86%
More than 14% of 16,825 advisers
Assets under management
$153.8Mregulatory AUM
Discretionary $153.8M