← Tributary

UP FINTECH ASSET MANAGEMENT

NEWTOWN SQUARE, PA · CRD 285915 · IAPD ↗ · upfintecham.com · 480-631-4700

$1.5MRegulatory AUM
2Advisory reps
2Employees
0Clients
0Planning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
September 2026 — UP FINTECH ASSET MANAGEMENT (NEWTOWN SQUARE, PA) left the SEC roster (was $1.5M RAUM, 2 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
50
April 2025 — UP FINTECH ASSET MANAGEMENT shrank from 6 to 2 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

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