UPHOLDINGS
UPHOLDINGS GROUP LLC Legal Name
Adviser information for UPHOLDINGS last updated from Form ADV on July 11th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2 | $1.4M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $1.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 1 | $1.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $100,000 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | Fixed fees |
Identifiers
| SEC RIA File Number | 801-119773 |
|---|---|
| SEC ERA File Number | 801-119773 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 301340 |
| Legal Entity Identifier | None |
Principal Office
3819 HARDING PLNASHVILLE
TN
United States
Monday - Friday, 8AM-6PM CT
Tel: 615-669-8699, Fax: None
Chief Compliance Officer
ROBERT CANTWELL
3819 HARDING PL
NASHVILLE
TN
United States
Tel:
615-669-8699
R*****@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| THE COMPOUND KINGS FUND | SERIES OF UPHOLDINGS FUNDS LLC | $0.1M | $0.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CANTWELL, ROBERT, ALEXANDER | Individual | – | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | 01/2019 | > 75% |
| KACHER REVOCABLE TRUST | Domestic Entity | – | MEMBER | 05/2021 | 5-10% |
| KACHER, GLEN, THOMAS | Individual | KACHER REVOCABLE TRUST | TRUSTEE | 05/2021 |