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UPWELLING CAPITAL GROUP LLC

DAVIS, CA · CRD 164653 · IAPD ↗ · upwellingcapital.com · 530-758-7888

$115.2MRegulatory AUM
6Advisory reps
7Employees
2Clients
n/aPlanning clients
4Private funds
1States
1Disclosures
fundSegment
ApprovedSEC status

Filing changes

45
April 2025 — UPWELLING CAPITAL GROUP LLC (DAVIS, CA) left the SEC roster (was $115.2M RAUM, 6 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
30
April 2024 — UPWELLING CAPITAL GROUP LLC reported RAUM down 27% ($156.8M -> $115.2M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.