RIA Intelligence

UPTON ADVISORS, LLC

CRD #132487 SEC #801-63439 AMHERST, NH 603-673-9462
SEC Registered Broker-Dealer
Total AUM
$50M
Discretionary
$0
Employees
5
Clients
--
Accounts
4

Firm Details

Organization Type
Limited Liability Company
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
May 31, 2005
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
UPTON, RICHARD ALLENIPRESIDENT & CHIEF COMPLIANCE OFFICERE Control
UPTON, RICHARD ALLENIPRESIDENT & CHIEF COMPLIANCE OFFICERE Control
UPTON, RICHARD ALLENIPRESIDENT & CHIEF COMPLIANCE OFFICERE Control
UPTON, RICHARD ALLENIPRESIDENTE Control
UPTON, RICHARD ALLENIPRESIDENTE Control
UPTON, RICHARD ALLENICHIEF COMPLIANCE OFFICERE Control
UPTON, RICHARD, ALLENIPRESIDENTE Control
UPTON, RICHARD, ALLENIPRESIDENTE Control

Registrations

Federal

IA
May 31, 2005 REGISTERED

Notice Filings (1)

NH

Address

THE CARRIAGE HOUSE
12 MIDDLE STREET
AMHERST, NH 3031
USA
Phone: 603-673-9462