Uptown Financial Advisors LLC

Registered adviser

CIK

2066147

Location

DALLAS, TX

Portfolio Value

Small $117,479,362

Diversification

Diversified

Filing Date

Global Rank

#7,247 / 8,811 ▲ 728 · as of Jun 2026

Top Industry

Semiconductors 26.9%

Period ended 22 days ago

Filed Oct 15, 2026 · 7d

8 quarters · since Dec 2024

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 171401

Roster of Oct 1, 2026

Regulatory AUM

$153,813,197

Main clients

Individuals and high net worth (97% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$153,813,197	Individuals and high net worth (97%)
Jun 2025 to Mar 2026	$125,293,380	Individuals and high net worth (96%)

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Concentrated

The top 10 positions are 82.6% of the book (60%+)

Turnover

Low turnover

6.1% over the last four quarters (under 30%)

Horizon

Medium horizon

Value-weighted holding period 6.9 quarters (4 to under 12)

Closest benchmark: every 13F filer's combined book, active share 87.5%; sector active share 80.0% against the combined 13F book's sector weights.

Over time 7 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

77 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

29.0%

+7.7 pts

Top 5

67.0%

+5.2 pts

Top 10

82.9%

+2.6 pts

HHI

1,312

Diversified+322

Portfolio Trend

8 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	88.5%	$103,975,984	52
Technology	5.4%	$6,399,335	6
Energy	2.3%	$2,650,252	6
Financial Services	1.3%	$1,550,574	6
Communication Services	1.2%	$1,465,992	3
Healthcare	0.8%	$982,638	2
Consumer Cyclical	0.2%	$251,890	1
Industrials	0.2%	$202,697	1

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
VUG	VANGUARD GROWTH INDEX FUND	+3,214	189,861	$17,108,374
SCHF	Schwab International Equity ETF	+3,033	184,188	$5,059,644
VO	VANGUARD MID-CAP INDEX FUND	+2,620	142,340	$11,162,302
SCHD	Schwab U.S. Dividend Equity ETF	+2,316	15,066	$490,096
SPEM	State Street(R) SPDR(R) Portfolio Emerging Markets ETF	+2,107	158,099	$8,183,204
SPYV	State Street(R) SPDR(R) Portfolio S&P 500(R) Value ETF	+1,564	165,885	$10,140,550
MINT	PIMCO Enhanced Short Maturity Active Exchange-Traded Fund	+1,355	6,311	$634,571
CSCO	Cisco Systems, Inc.	+1,341	5,728	$616,504
MSFT	Microsoft Corp	+1,269	3,191	$1,636,663
VOO	VANGUARD 500 INDEX FUND	+1,148	1,882	$1,319,018
IJR	iShares Core S&P Small-Cap ETF	+966	80,370	$0
BIV	Vanguard Bond Index Funds	+824	53,563	$3,902,600
IEFA	iShares Core MSCI EAFE ETF	+749	5,471	$0
VIG	Vanguard Specialized Funds	+648	2,032	$474,085
WFC	Wells Fargo & Company	+614	3,554	$284,497
IVV	iShares Core S&P 500 ETF	+438	3,069	$0
VNQI	VANGUARD GLOBAL EX-U.S. REAL ESTATE INDEX FUND	+382	7,287	$309,843
SPY	Spdr S&P 500 ETF Trust	+375	3,999	$3,049,757
TXN	Texas Instruments Inc	+281	1,621	$454,025
NVDA	Nvidia Corp	+249	10,895	$2,488,200
AGG	iShares Core U.S. Aggregate Bond ETF	+207	6,121	$0
LQD	iShares iBoxx $ Investment Grade Corporate Bond ETF	+159	16,441	$0
SCHV	Schwab U.S. Large-Cap Value ETF	+140	20,492	$682,588
AXP	American Express Co	+119	1,246	$378,908
KMI	Kinder Morgan, Inc.	+95	7,047	$212,467
No positions match the current search.

Trimmed

Positions the filer reduced

17 positions

Ticker	Company	Δ Shares	Shares	Value
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	−12,007	41,962	$1,654,981
ET	Energy Transfer LP	−3,880	124,894	$0
BNDX	Vanguard Total International Bond ETF	−783	29,011	$1,359,745
BSV	VANGUARD SHORT-TERM BOND INDEX FUND	−704	99,475	$7,599,890
VSS	VANGUARD FTSE ALL-WORLD EX-US SMALL-CAP INDEX FUND	−400	20,499	$3,182,469
EPD	Enterprise Products Partners L.P.	−393	47,658	$1,697,101
SCHC	Schwab International Small-Cap Equity ETF	−271	5,690	$283,020
JNK	State Street(R) SPDR(R) Bloomberg High Yield Bond ETF	−266	7,557	$700,911
SPDW	State Street(R) SPDR(R) Portfolio Developed World ex-US ETF	−257	19,809	$994,609
VTV	VANGUARD VALUE INDEX FUND	−245	18,467	$3,990,349
MUB	iShares National Muni Bond ETF	−229	5,289	$0
VDE	VANGUARD ENERGY INDEX FUND	−220	25,078	$4,317,428
SPYG	State Street(R) SPDR(R) Portfolio S&P 500(R) Growth ETF	−164	47,635	$5,862,915
VEA	Vanguard FTSE Developed Markets ETF	−131	52,963	$3,739,717
JNJ	Johnson & Johnson	−59	1,778	$470,707
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	−28	5,575	$342,862
IWM	iShares Russell 2000 ETF	−18	3,734	$0
No positions match the current search.

New Positions

Positions the filer opened this quarter

5 positions

Ticker	Company	Shares	Value
VPU	VANGUARD UTILITIES INDEX FUND	3,000	$513,000
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	4,725	$370,014
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	1,416	$277,182
VGSH	VANGUARD SHORT-TERM TREASURY INDEX FUND	3,788	$218,037
PSX	Phillips 66	800	$204,248
No positions match the current search.

Sold Out

Positions the filer fully exited

5 positions

Ticker	Company	Shares	Value
TSLA	Tesla, Inc.	509	$214,085
IBM	International Business Machines Corp	743	$208,939
MIDD	MIDDLEBY Corp	1,200	$206,411
QQQ	Invesco Qqq Trust, Series 1	232	$170,844
SPCX	Space Exploration Technologies Corp	32	$5,467
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

77 tracked positions · $117,479,362 total · filing declares 77 positions · $140,099,280 · as of Sep 30, 2026

All sectors Communication Services Consumer Cyclical Energy Financial Services Healthcare Industrials Technology

Showing 1–50 of 77 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
VUG	VANGUARD GROWTH INDEX FUND	Added	189,861	+3,214	$17,108,374	+6.4%	14.56%
VO	VANGUARD MID-CAP INDEX FUND	Added	142,340	+2,620	$11,162,302	−0.8%	9.50%
SPYV	State Street(R) SPDR(R) Portfolio S&P 500(R) Value ETF	Added	165,885	+1,564	$10,140,550	+1.5%	8.63%
SPEM	State Street(R) SPDR(R) Portfolio Emerging Markets ETF	Added	158,099	+2,107	$8,183,204	+1.3%	6.97%
BSV	VANGUARD SHORT-TERM BOND INDEX FUND	Reduced	99,475	-704	$7,599,890	−2.6%	6.47%
SPYG	State Street(R) SPDR(R) Portfolio S&P 500(R) Growth ETF	Reduced	47,635	-164	$5,862,915	+3.1%	4.99%
SCHF	Schwab International Equity ETF	Added	184,188	+3,033	$5,059,644	+0.8%	4.31%
VDE	VANGUARD ENERGY INDEX FUND	Reduced	25,078	-220	$4,317,428	+13.7%	3.68%
VTV	VANGUARD VALUE INDEX FUND	Reduced	18,467	-245	$3,990,349	−2.1%	3.40%
BIV	Vanguard Bond Index Funds	Added	53,563	+824	$3,902,600	−3.5%	3.32%
VEA	Vanguard FTSE Developed Markets ETF	Reduced	52,963	-131	$3,739,717	−1.1%	3.18%
VSS	VANGUARD FTSE ALL-WORLD EX-US SMALL-CAP INDEX FUND	Reduced	20,499	-400	$3,182,469	−1.3%	2.71%
SPY	Spdr S&P 500 ETF Trust	Added	3,999	+375	$3,049,757	+12.7%	2.60%
NVDA	Nvidia Corp Technology	Reduced	10,895	-4,751	$2,488,200	−20.5%	2.12%
EPD	Enterprise Products Partners L.P. Energy	Reduced	47,658	-393	$1,697,101	−3.9%	1.44%
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	Reduced	41,962	-28,507	$1,654,981	−48.2%	1.41%
MSFT	Microsoft Corp Technology	Reduced	3,191	-731	$1,636,663	+11.9%	1.39%
BNDX	Vanguard Total International Bond ETF	Reduced	29,011	-783	$1,359,745	−5.8%	1.16%
VOO	VANGUARD 500 INDEX FUND	Added	1,882	+1,148	$1,319,018	+161.6%	1.12%
VYM	VANGUARD HIGH DIVIDEND YIELD INDEX FUND	Added	6,538	+48	$1,014,697	−1.1%	0.86%
SPDW	State Street(R) SPDR(R) Portfolio Developed World ex-US ETF	Reduced	19,809	-257	$994,609	−1.6%	0.85%
META	Meta Platforms, Inc. Communication Services	Added	1,307	+34	$947,810	+32.2%	0.81%
JAAA	Janus Henderson AAA CLO ETF	Held	17,361	0	$876,209	−0.0%	0.75%
VNQ	VANGUARD REAL ESTATE INDEX FUND	Added	9,551	+52	$856,056	−6.5%	0.73%
EMXC	iShares MSCI Emerging Markets ex China ETF	Held	8,409	0	$833,163	−3.1%	0.71%
JNK	State Street(R) SPDR(R) Bloomberg High Yield Bond ETF	Reduced	7,557	-266	$700,911	−7.0%	0.60%
AVGO	Broadcom Inc. Technology	Reduced	1,947	-158	$683,766	−14.0%	0.58%
SCHV	Schwab U.S. Large-Cap Value ETF	Added	20,492	+140	$682,588	−3.7%	0.58%
MINT	PIMCO Enhanced Short Maturity Active Exchange-Traded Fund	Added	6,311	+1,355	$634,571	+27.0%	0.54%
CSCO	Cisco Systems, Inc. Technology	Reduced	5,728	-1,859	$616,504	−30.8%	0.52%
AAPL	Apple Inc. Technology	Held	1,562	0	$520,177	+15.1%	0.44%
VGT	VANGUARD INFORMATION TECHNOLOGY INDEX FUND	Held	4,097	0	$514,869	+5.1%	0.44%
VPU	VANGUARD UTILITIES INDEX FUND	NEW	3,000	NEW	$513,000	NEW	0.44%
ABBV	AbbVie Inc. Healthcare	Added	1,957	+44	$511,931	+6.3%	0.44%
SCHD	Schwab U.S. Dividend Equity ETF	Added	15,066	+2,316	$490,096	+21.2%	0.42%
VWO	VANGUARD EMERGING MARKETS STOCK INDEX FUND	Added	8,054	+90	$477,682	+0.5%	0.41%
VIG	Vanguard Specialized Funds	Added	2,032	+648	$474,085	+44.8%	0.40%
JNJ	Johnson & Johnson Healthcare	Reduced	1,778	-59	$470,707	+0.9%	0.40%
TXN	Texas Instruments Inc Technology	Added	1,621	+281	$454,025	+13.7%	0.39%
VBR	VANGUARD SMALL-CAP VALUE INDEX FUND	Added	1,878	+90	$433,874	−0.1%	0.37%
SCHG	Schwab U.S. Large-Cap Growth ETF	Held	11,476	0	$412,332	+6.2%	0.35%
AXP	American Express Co Financial Services	Added	1,246	+119	$378,908	−0.6%	0.32%
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	NEW	4,725	NEW	$370,014	NEW	0.31%
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	Reduced	5,575	-3,028	$342,862	−25.0%	0.29%
JPM	Jpmorgan Chase & Co Financial Services	Added	987	+29	$326,529	+4.1%	0.28%
VNQI	VANGUARD GLOBAL EX-U.S. REAL ESTATE INDEX FUND	Added	7,287	+382	$309,843	+0.0%	0.26%
WFC	Wells Fargo & Company Financial Services	Added	3,554	+614	$284,497	+17.1%	0.24%
CVX	Chevron Corp Energy	Added	1,386	+41	$283,035	+27.0%	0.24%
SCHC	Schwab International Small-Cap Equity ETF	Reduced	5,690	-271	$283,020	−1.3%	0.24%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	NEW	1,416	NEW	$277,182	NEW	0.24%

Showing the top 50 of 77 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.