UPTICK CAPITAL MANAGEMENT, LLC
Adviser information for UPTICK CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 7th, 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 |
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Fiscal Year End | DECEMBER |
Legal Location | Oregon, United States |
Employees
Total Number of Employees | 0 |
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Investment Advisory/Research | 0 |
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 | No |
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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 |
Services
Advisory Services | – |
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Compensation | – |
Identifiers
SEC RIA File Number | 802-129016 |
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SEC ERA File Number | 802-129016 |
SEC CIK Numbers | None |
SEC CRD Numbers | 328602 |
Legal Entity Identifier | None |
Principal Office
310 N STATE STREETLAKE OSWEGO
OR
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 877-487-6860, Fax: None
Websites
Chief Compliance Officer
SCOTT THOMPSOPN
310 N. STATE STREET
SUITE 208
LAKE OSWEGO
OR
United States
Tel:
971-201-4584
S****@******************M
(Full email address available in API data)
Industry Affiliates
ALLIUM FINANCIAL ADVISORS, LLC | Other investment adviser, including financial planners |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
---|---|---|---|---|
UPTICK CANARIA FUND, L.P. | Securitized Asset Fund | $0.0M | $0.0M | 3 |
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
TRILLIUM CONSULTING, INC. | Domestic Entity | – | MEMBER | 07/2023 | > 75% |
THOMPSON, SCOTT, ALAN | Individual | – | MANAGER | 07/2023 | < 5% |
ARNTSON, SHEREE, DEMERS | Individual | TRILLIUM CONSULTING, INC. | PRESIDENT AND DIRECTOR | 04/2017 | 25-50% |
TEMPALLI, PRADEEP | Individual | TRILLIUM CONSULTING, INC. | CHIEF FINANCIAL OFFICER AND DIRECTOR | 04/2017 | 25-50% |
THOMPSON, SCOTT, ALAN | Individual | TRILLIUM CONSULTING, INC. | CHIEF INVESTMENT OFFICER AND DIRECTOR | 04/2022 |