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UPPER90

PROVIDENCE, RI · CRD 304179 · IAPD ↗ · (646) 979-0719

$1.11BRegulatory AUM
11Advisory reps
18Employees
0Clients
n/aPlanning clients
31Private funds
3States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

57
April 2026 — UPPER90 grew from 9 to 11 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
70
April 2026 — UPPER90 crossed $1B in regulatory AUM ($919.9M -> $1.11B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
30
April 2024 — UPPER90 notice-filed in MD.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
38
April 2024 — UPPER90 added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

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