9AT: UTA LLC - Summary

Adviser Profile

As of Date	01/12/2026
Registration	SEC, Approved, 07/15/2021
ADV Location	VANCOUVER, WA, United States
Contact Info	360 xxxxxxx
Websites

AUM^*	214,570,738 48%
of that, discretionary	183,184,173 40%
Number of Employees	2
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	865,205 33%
% High Net Worth	41.75% 41%
SMA’s	No
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser CADENT CAPITAL ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM785.8m	#Funds-
Adviser AUXIN GROUP WEALTH MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM304.2m	#Funds-
Adviser TED BUCHAN & COMPANY	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM413.2m	#Funds-
Adviser APELLA WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM11.1b	#Funds-
Adviser QUARRY HILL ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM394.8m	#Funds-
Adviser THE PACIFIC CENTER FOR FINANCIAL SERVICES	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM960.6m	#Funds-
Adviser CANOPY WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.2b	#Funds-
Adviser LEWIS ASSET MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM387.1m	#Funds-
Adviser BROWN WEALTH MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM199.5m	#Funds-
Adviser LUMATURE WEALTH PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM561.2m	#Funds-

Brochure Summary

Overview

UTA, LLC dba Uptown Advisors (“UTA” “advisor” “we” or “us”) is a registered investment advisor located in Vancouver, Washington and registered with the SEC since 2021. UTA, LLC’s owner is Asoka G. Weeraratne. We provide advice to clients regarding the investment of client funds based on the individual needs of each client. We start with a financial plan identifying client needs, concerns, life, and family objectives. Through these personal discussions, we come to understand the client’s short term and long-term goals. Based on each client’s individual circumstances, we create and manage a portfolio to meet those goals and objectives. We further base our strategies on current and expected changes in the economy, interest rates, market conditions, political environment while always considering but not driving decisions on the basis of current tax environment. Quarterly performance statements and at the minimum annual client reviews help us keep up to date on client life changes and needs. Together this process aides our firm and our clients in understanding their needs and circumstances as they change while achieving their goals over time. We manage these advisory accounts on a discretionary or non-discretionary basis. Account supervision is guided by the client's stated objectives, as well as tax considerations. Clients may impose reasonable restrictions involving liquidity needs, investing in certain securities, types of securities, or industry sectors. Our investment recommendations are not limited to any specific product or service offered by a broker-dealer or insurance company and will generally include advice and recommendations regarding mutual funds, exchange traded funds (“ETF”), equities, and fixed income assets. We may also advise certain clients on individual securities and legacy

positions in certain circumstances. Because some types of investments involve certain additional degrees of risk, they will only be implemented/recommended when consistent with the client's stated investment objectives, tolerance for risk, liquidity, and suitability. We may also recommend that part or all of a client’s assets be placed with a subadvisor or third party asset manager, when appropriate. We also provide financial planning services encompassing one or more aspects of a client's overall financial situation. We gather the information, as required, to provide consulting services requested of us by the client. We carefully review documents supplied by the client. As appropriate, we will introduce clients to unaffiliated, outside professionals (attorneys, accountants, third party administrators, insurance agents, realtors, etc.), or coordinate with existing professionals, to help clients carry out their desired financial plan. Implementation of financial plan recommendations is entirely at the client's discretion. 2 See Item 8 for a description of our investment strategy. When we provide investment advice to you regarding your retirement plan account or individual retirement account, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts. The way we make money creates some conflicts with your interests, so we operate under a special rule that requires us to act in your best interest and not put our interest ahead of yours. We manage $ 130,614,566 of Client assets on a discretionary basis and $ 14,085,578 of Client assets on a non-discretionary basis. This amount was calculated as of December 31, 2023.

UTA LLC

UTA LLC

UPTOWN ADVISORS

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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UTA LLC UTA LLC UPTOWN ADVISORS

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

UTA LLC

UTA LLC

UPTOWN ADVISORS