Upstate Advisers Inc.
- Regulatory AUM
- $34.1M
- Discretionary
- $15.7M
- Clients
- 21
- Avg AUM / client
- $1.6M
- Accounts
- 39
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 7 | $4.4M | 12.8% |
| High net worth individuals | 6 | $11.4M | 33.4% |
| Pension and profit sharing plans | 8 | $18.3M | 53.8% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Iron Workers Local Union 60 Annuity Pension Plan Iron Workers Local Union 60 Annuity Pension Fund Board Of Trustees | 2024 | |
| Service Employees Pension Fund Of Upstate Ny Upstate New York Service Employees Pension Fund Of Upstate Ny | 2024 |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Amy Ann Ryan | Registered representative | Jun 2026 (0y) |
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.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Iron Workers Local Union 60 Annuity Pension Plan | Iron Workers Local Union 60 Annuity Pension Fund Board Of Trustees | 410 | $41.6M | 07/01/2024 |
| Service Employees Pension Fund Of Upstate Ny Upstate New York | Service Employees Pension Fund Of Upstate Ny | 3,448 | $230M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/07/2026 | 852 KB | 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $15.7M (46% of AUM) Jul 2026
- Vanguard Retirement Services $10.4M (31% of AUM) Jul 2026
- Adp Retirement Trust Services, Llc $5.0M (15% of AUM) Jul 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: Jul 21, 2026.
View current Form ADV (SEC/IAPD) ↗