UPTOWN CAPITAL ADVISORS
Firm details
- Headquarters
- DALLAS, Texas
- CRD number
- 171401
- Registered since
- May 28, 2025
- Website
- www.uptowncapital.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM
- Client types
- HNWI89.16%
- Individuals7.53%
- Charitable Organizations3.31%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional Clients
Firm profile
FINTRXOverview
Uptown Capital Advisors is an independent registered investment adviser structured as an LLC and operating under a single individual owner. The firm provides fee-based wealth management, charging a percentage of assets under management. Its client roster mixes high-net-worth individuals and families with institutional or business accounts. Core advisory services include financial planning and discretionary portfolio management for both individual/small-business clients and larger business or institutional accounts. Uptown Capital Advisors presents itself as an active ESG investor and maintains an affiliation with a law firm. The firm is not organized as a capital allocator or a pension consultant, and it is not registered as a multi-state adviser. Its SEC registration dates from 2025.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds81%
- Exchange Traded Equities12%
- US Government Bonds3%
- State & Local Bonds2%
- Cash & Cash Equivalents2%
Contacts
2 of 2CHRISTOPHER CARRIE
Managing MemberCRD 4655871
JAMES SAWERS
PresidentCRD 6331584
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 58Active vs passive
$139M in ETFs
98%
$136M
1%
$2.2M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD GROWTH INDEX FUND (VUG) | Vanguard | Passive | Large Growth | $13.7M | 31,383 | 9.89% |
Location
DALLAS, TX
DALLAS
Location
DALLAS, TX
Headquartered in DALLAS, TX, anchoring the Dallas-Fort Worth, TX-OK metro in the South.
- Metro area
- Dallas-Fort Worth, TX-OK
- Region
- South
- County
- DALLAS
- Address
- 2911 Turtle Creek Blvd
- Time zone
- CT (UTC-6)
- Office locations
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