UPRIGHT FINANCIAL CORP
Adviser information for UPRIGHT FINANCIAL CORP last updated from Form ADV on July 20th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New Jersey, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 46 | $53.6M |
| Non-Discretionary | 0 | $0 |
| Total | 46 | $53.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 37 | $13.8M |
| HNW Individuals | <5 | $12.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $20.6M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $5.7M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $499,301 |
| 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 | 10 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMCommissionsPerformance-based feesPACKAGE FEE |
| Other Business Activities | Insurance broker or agent |
Principal Office
349 RIDGEDALE AVE.EAST HANOVER
NJ
United States
Monday - Friday, 9:30A.M. - 5P.M.
Tel: 973-533-1818, Fax: 973-743-0800
Chief Compliance Officer
YOW SHANG DAVID CHIUEH
MANAGER
349 RIDGEDALE AVE
EAST HANOVER
NJ
United States
Tel:
973-533-1818
Fax:
973-743-0800
U**********@********M
(Full email address available in API data)
Regulatory Contact
YOW SHANG DAVID CHIUEH
MANAGER
349 RIDGEDALE AVE
EAST HANOVER
NJ
United States
Tel:
973-533-1818
Fax:
973-743-0800
U**********@********M
(Full email address available in API data)
Industry Affiliates
| AVIVA | Insurance company or agency |
| DAVID CHIUEH ASSOCIATES | Insurance company or agency |
| MASSMUTUAL | Insurance company or agency |
| TRANSPACIFIC AGENCY | Insurance company or agency |
| UPRIGHT GROWTH FUND | Trust company |
| W. S. VOGEL AGENCY, INC | Insurance company or agency |
| YANG'S PENSION | Pension consultant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| UPRIGHT CAPITAL USA LLC | Hedge Fund | $4.8M | $0.3M | 7 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CHIUEH, YOWSHANG, DAVID | Individual | – | PRESIDENT | 01/1991 | > 75% |
| CHIUEH, YOWSHANG, DAVID | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2013 | < 5% |