UPRIGHT FINANCIAL CORP

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Adviser Profile
As of Date 07/01/2024
Adviser Type - An investment adviser (or subadviser) to an investment company
Number of Employees 3
of those in investment advisory functions 1
Registration SEC, Approved, 03/01/1991
AUM* 62,649,585 16.90%
of that, discretionary 62,649,585 16.90%
Private Fund GAV* 7,227,035 51.26%
Avg Account Size 1,491,657 28.03%
% High Net Worth 14.29% 64.29%
SMA’s Yes
Private Funds 1
Contact Info 973 xxxxxxx

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Pooled investment vehicles
- Charitable organizations

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Pension consulting services
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Commissions
- Performance-based fees

Recent News

Reported AUM

Discretionary
Non-discretionary
95M 81M 68M 54M 41M 27M 14M
2016 2017 2018 2019 2020 2021 2022 2023

Private Funds



Employees

Private Funds Structure

Fund Type Count GAV
Fund TypeHedge Fund Count1 GAV$7,227,035

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Brochure Summary

Overview

A. Our Company & Principals Upright Financial Corp. (“UFC”) is a financial advisory firm registered with Securities and Exchange Commission (SEC) as a Registered Investment Advisor (“RIA”). It has been in business since October 1990. The firm’s principal owner is “David” Yow-Shang Chiueh, MBA. B. Type of Financial Services UFC provides both Comprehensive Financial Planning and Portfolio Management services for private clients and companies through a Full Trading Authorization and/or a Limited Power of Attorney. Comprehensive Financial Planning includes analysis and recommendations on the client’s income, properties, estate, tax, insurance, and retirement planning. Portfolio Management includes investing in stocks, mutual funds, trust accounts, and pension accounts. C. Customization of Accounts UFC meets with clients periodically to review their financial situation, answer questions, and consult if any adjustments are
needed to meet their financial objectives based on their risk tolerance and time horizon. For individual clients who have expressed interests, we offer a financial scenario analysis to help clients make major life decisions such as relocation, career change, retirement projections, cash flow analysis and college planning. We also provide tracking service to monitor our clients account performance against their goals on an ongoing basis. D. Wrap Fee Programs At present UFC operates as a fee based advisor, and is compensated by the clients semiannually in advance. The firm does not offer nor participate in any wrap fee programs. We do not receive any commissions of any kind from brokers, custodians, or investment funds, nor are we supplied with third party research credits. E. Assets Under Management Client assets are managed on a purely discretionary basis. As of 12/31/2022, our discretionary assets under management totaled $53.59 million.