UPTOWN FINANCIAL ADVISORS LLC
Legal name: UPTOWN CAPITAL ADVISORS
CRD #171401 SEC #801-132876 DALLAS, TX 214-628-9508
SEC Registered
Total AUM
$125.3M
Discretionary
$125.3M
Employees
2
Clients
25
Accounts
232
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Texas
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 28, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CARRIE, CHRISTOPHER, JAMES | I | TREASURER AND MANAGING MEMBER | D | Control |
| SAWERS, JAMES, KEMP | I | PRESIDENT, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER, DESIGNATED OFFICER | D | Control |
Registrations
Federal
IA
Apr 28, 2025 REGISTERED
Notice Filings (2)
LA TX
Address
2911 TURTLE CREEK BLVDSUITE 1100
DALLAS, TX 75219
United States
Phone: 214-628-9508