Up Strategic Wealth Investment Advisors, Llc
- Regulatory AUM
- $259M
- Discretionary
- $259M
- Clients
- 68
- Avg AUM / client
- $3.8M
- Accounts
- 182
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 26 | $7.9M | 3.07% |
| High net worth individuals | 18 | $212M | 82.0% |
| Charitable organizations | 1 | $236K | 0.09% |
| Insurance companies | 17 | $36.3M | 14.0% |
| Corporations and other businesses | 6 | $2.0M | 0.79% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kenneth Lynn Urish | Member | Apr 2013 (13y) | Less than 5% | |
| Elizabeth Ann Urish | Director/Chief Compliance Officer | Aug 2013 (13y) | ≈ 18.75% – 50% via Up Strategic Wealth Advisers, Llc | |
| Saundra Jane Gibson Genoni | Registered representative | Jan 2023 (4y) | ||
| Bradford William Hess | Registered representative | CFP | Sep 2023 (3y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Up Strategic Wealth Advisers, Llc | Owner | Jan 2024 | A | 75% or more |
| Hbks Investments Llc | Owner | Jan 2024 | A | 10% – 25% |
| Hbk Sorce Holdings Llc | Owner | Mar 2012 | B | ≈ 7.5% – 25% via Hbks Investments Llc |
| Hill, Barth, & King Financial Holdings Llc | Owner | Jan 2009 | B | ≈ 3.75% – 18.75% via Hbk Sorce Holdings Llc |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Elizabeth Ann Urish: 25% – 50% of Up Strategic Wealth Advisers, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Hbk Sorce Holdings Llc: 75% – 100% of Hbks Investments Llc × 10% – 25% direct ≈ 7.5% – 25% of the firm
- Hill, Barth, & King Financial Holdings Llc: 50% – 75% of Hbk Sorce Holdings Llc × 75% – 100% of Hbks Investments Llc × 10% – 25% direct ≈ 3.75% – 18.75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/04/2026 | 1.21 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $221M (86% of AUM) Mar 2026
- National Advisors Trust Company $32.1M (12% of AUM) Mar 2026
- Comerica Securities,Inc. $5.4M (2% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 04, 2026.
View current Form ADV (SEC/IAPD) ↗