RIA Intelligence

UPSIDE FINANCIAL, LLC

CRD #173084 SEC #801-78119 CHICAGO, IL 312-827-2800
SEC Registered
Total AUM
$0
Discretionary
$0
Employees
0
Clients
--
Accounts
0

Firm Details

Organization Type
Limited Liability Company
State of Formation
Delaware
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 30, 2016
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
BERGMAN, JUDSON, TIPRESIDENTNA Control
BERGMAN, JUDSON, TIPRESIDENTNA Control
BERGMAN, JUDSON, TIPRESIDENTNA Control
DEVOE, DEBRA, JANEISVP, CHIEF COMPLIANCE OFFICERNA
DEVOE, DEBRA, JANEISVP, CHIEF COMPLIANCE OFFICERNA
DEVOE, DEBRA, JANEISVP, CHIEF COMPLIANCE OFFICERNA
KIMBERLY, THOMAS, ALESBURYICEONA Control
KIMBERLY, THOMAS, ALESBURYICEONA Control
KIMBERLY, THOMAS, ALESBURYICEONA Control
SELF, JONATHAN, ANDREWICCO/CFONA
SELF, JONATHAN, ANDREWICCO/CFONA
SELF, JONATHAN, ANDREWICCO/CFONA
UPSIDE HOLDINGS, INC.DEMEMBERE Control
UPSIDE HOLDINGS, INC.DEMEMBERE Control
UPSIDE HOLDINGS, INC.DEMEMBERE Control
UPSIDE HOLDINGS, INC.DEMEMBERE Control
UPSIDE HOLDINGS, INC.DEMEMBERE Control
UPSIDE HOLDINGS, INC.DEMEMBERE Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
ENVESTNET, INC.DEUPSIDE HOLDINGS, INC.E Control
ENVESTNET, INC.DEUPSIDE HOLDINGS, INC.E Control
ENVESTNET, INC.DEUPSIDE HOLDINGS, INC.E Control
ENVESTNET, INC.DEUPSIDE HOLDINGS, INC.E Control
HAM, JUNEYIUPSIDE HOLDINGS, INC.D Control
HAM, JUNEYIUPSIDE HOLDINGS, INC.D Control
KIMBERLY, THOMAS, ALESBURYIUPSIDE HOLDINGS, INC.D Control
KIMBERLY, THOMAS, ALESBURYIUPSIDE HOLDINGS, INC.D Control

Registrations

Federal

IA
Mar 30, 2016 REGISTERED

Notice Filings (13)

AL CA CT GA MA MD NJ NY OR PA RI VA WA

Address

35 EAST WACKER DRIVE, SUITE 2400
CHICAGO, IL 60601
United States
Phone: 312-827-2800