← Tributary

UPLIFT

DARIEN, CT · CRD 335515 · IAPD ↗ · 908-256-4073

$1.08BRegulatory AUM
16Advisory reps
17Employees
0Clients
n/aPlanning clients
6Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

63
September 2026 — UPLIFT grew from 8 to 16 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
70
September 2026 — UPLIFT crossed $1B in regulatory AUM ($230.5M -> $1.08B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
50
December 2025 — UPLIFT now reports custody of client assets ($422.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
53
December 2025 — UPLIFT grew from 5 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
December 2025 — UPLIFT now reports 2 private fund(s) ($211.0M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
85
June 2025 — UPLIFT (DARIEN, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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