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UPSTART WEALTH MANAGEMENT, LLC

· CRD 173728 · IAPD ↗ · upstartwealth.com · (415) 549-0646

$385.9MRegulatory AUM
4Advisory reps
4Employees
6Clients
51-100Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
June 2026 — UPSTART WEALTH MANAGEMENT, LLC notice-filed in CT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
March 2026 — UPSTART WEALTH MANAGEMENT, LLC reported RAUM up 31% ($294.0M -> $385.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
53
April 2025 — UPSTART WEALTH MANAGEMENT, LLC added office(s): 3 -> 4 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
March 2025 — UPSTART WEALTH MANAGEMENT, LLC notice-filed in IL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
March 2025 — UPSTART WEALTH MANAGEMENT, LLC now reports custody of client assets ($84.8M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
40
October 2024 — UPSTART WEALTH MANAGEMENT, LLC filed an Item 4A succession naming UPSTART WEALTH MANAGEMENT, LLC (CRD 173728) — an entity change, not a deal.
Item 4A succession where the acquired firm is the same business (entity change, not a deal).
Integration & migration consultingCompliance
50
October 2024 — UPSTART WEALTH MANAGEMENT, LLC added office(s): 4 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
62
April 2024 — UPSTART WEALTH MANAGEMENT, LLC reported RAUM up 36% ($182.5M -> $248.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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