UP FINANCIAL USA INC.
Adviser information for UP FINANCIAL USA INC. last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
Type of Organization | Corporation |
---|---|
Fiscal Year End | FEBRUARY |
Legal Location | Canada |
Employees
Total Number of Employees | 2 |
---|---|
Investment Advisory/Research | 2 |
Registered Broker-Dealer Representatives | 2 |
Registered State Investment Advisers | 2 |
Licensed Agents of an Insurance Company | 2 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
---|
Type | Accounts | RAUM |
---|---|---|
Discretionary | 0 | $0 |
Non-Discretionary | 0 | $0 |
Total | 0 | $0 |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 0 | $0 |
HNW Individuals | 0 | $0 |
Banking or thrift institutions | 0 | $0 |
Investment companies | 0 | $0 |
Business development companies | 0 | $0 |
Pooled investment vehicles | 0 | $0 |
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 |
No. of Financial Planning Clients | 0 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
---|---|
Compensation | % of AUM |
Identifiers
SEC RIA File Number | 801-128140 |
---|---|
SEC ERA File Number | 801-128140 |
SEC CIK Numbers | None |
SEC CRD Numbers | 326602 |
Legal Entity Identifier | None |
Principal Office
396 11TH AVE SWSUITE 1020
CALGARY, ALBERTA
Canada
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 587-316-4070, Fax: None
Chief Compliance Officer
ELIJAH KIRCHMAIER
DIRECTOR
396 11TH AVE SW
SUITE 1020
CALGARY, ALBERTA
Canada
Tel:
587-316-4070
E**********@****************M
(Full email address available in API data)
Regulatory Contact
NATHAN WOOD
DIRECTOR
396 11TH AVE SW
SUITE 1020
CALGARY, ALBERTA
Canada
Tel:
587-316-4070
N****@****************M
(Full email address available in API data)
Industry Affiliates
UP FINANCIAL | Other investment adviser, including financial plannersInsurance company or agency |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
---|
None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
1972254 AB LTD. | Foreign Entity | – | HOLDING COMPANY | 04/2023 | > 75% |
KIRCHMAIER, ELIJAH, CODY | Individual | 1972254 AB LTD. | DIRECTOR | 05/2016 | 50-75% |
WOOD, NATHAN, ARTHUR | Individual | 1972254 AB LTD. | DIRECTOR | 05/2016 | 50-75% |
KIRCHMAIER, ELIJAH, CODY | Individual | – | DIRECTOR AND CHIEF COMPLIANCE OFFICER | 04/2023 | < 5% |
WOOD, NATHAN, ARTHUR | Individual | – | DIRECTOR | 04/2023 | < 5% |