DBA UPAL OR UNITED PROFESSIONALS ASSOC. LTD.

RIASEC Registered
Total AUM
$79.5M
Discretionary
$0
0% of AUM
Avg account
$602K
Accounts
132
Employees
5
Advisory reps
13

Firm details

Headquarters
TULSA, Oklahoma
CRD number
117509
Website
www.upal.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM
Client types
  • HNWI90.34%
  • Individuals9.66%
Services
Portfolio Management for Individuals

Firm profile

FINTRX

Overview

DBA Upal Or United Professionals AssoC. Ltd. is a small corporate RIA that serves individual and family clients, focusing on portfolio management for individuals and small businesses. The firm operates on a percentage-of-assets fee model and is owned by an individual. Its advisory activity centers on non-discretionary portfolio management rather than acting as a capital allocator or pension consultant. The adviser is not positioned as a multi-state or ESG-focused manager.

Assets & Accounts

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 72%, Exchange Traded Equities 26%, State & Local Bonds 3%, Cash & Cash Equivalents 2%72%
  • Public Funds/Mutual Funds72%
  • Exchange Traded Equities26%
  • State & Local Bonds3%
  • Cash & Cash Equivalents2%

Owners & executives

1 of 1

  • LEA NUNLEY

    President, CEOCRD 5293446

Contacts

3 of 12

  • S. Wan

    Financial Advisor and Registered RepresentativeCRD 6822196

  • JOSEPH CUNNINGHAM

    Managing DirectorCRD 5293434

  • Todd Beasley

    DirectorCRD 7917351

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

Location

Primary office

TULSA, OK

TULSA

Location

TULSA, OK

Headquartered in TULSA, OK, anchoring the Tulsa-Muskogee-Bartlesville, OK metro in the South.

Metro area
Tulsa-Muskogee-Bartlesville, OK
Region
South
County
TULSA
Address
6840 S Trenton Ave
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth