UPSTREAM LIFE WEALTH MANAGEMENT LLC
Adviser information for UPSTREAM LIFE WEALTH MANAGEMENT LLC last updated from Form ADV on March 18th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Mississippi, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 0 | $0 |
| Non-Discretionary | 0 | $0 |
| Total | 0 | $0 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $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 businessesPortfolio management for pooled investment vehiclesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-129917 |
|---|---|
| SEC ERA File Number | 801-129917 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 330469 |
| Legal Entity Identifier | None |
Principal Office
265 NORTH LAMAR BOULEVARDOXFORD
MS
United States
Monday - Friday, 9-5
Tel: 6628011029, Fax: None
Chief Compliance Officer
JUSTIN PAYNE
265 NORTH LAMAR BOULEVARD
OXFORD
MS
United States
Tel:
662-801-2296
J*****@**************S
(Full email address available in API data)
Regulatory Contact
DARA BIEDERMAN
COMPLIANCE CONSULTANT
44 MILTON AVENUE
314
ALPHARETTA
GA
United States
Tel:
4043014490
C*********@**************M
(Full email address available in API data)
Industry Affiliates
| UPSTREAM LIFE SECURITY COMPANY | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| UPSTREAM LIFE SECURITY COMPANY | Domestic Entity | – | LIFE INSURANCE COMPANY | 02/2024 | > 75% |
| PAYNE, JUSTIN, AVENT | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2024 | 25-50% |