AUMdb
UF

Upright Financial Corp

SEC-registered Insurance-Affiliated · Boutique (under $100M) CRD 107303 · SEC file 801-38340 ·
☆ Save with Pro ADV data as of Mar 30, 2026
Regulatory AUM
$98.0M
Discretionary
$98.0M
Clients
36
Avg AUM / client
$2.7M
Accounts
36
Employees
4

AUM over time

$20.0M $98.0M
Dec 2011 Dec 2025

Annual snapshots from Form ADV filings · as of Mar 30, 2026

Who they serve

Client typeClientsAUM% of AUM
Individuals (non-high net worth) 19 $7.7M 7.85%
High net worth individuals 12 $38.1M 38.9%
Investment companies 3 $31.9M 32.6%
Pooled investment vehicles (non-investment companies) 1 $19.0M 19.4%
Charitable organizations 1 $1.2M 1.26%

Private funds (1)

Reported in Form ADV Section 7.B.(1), filing of Jul 2024 · $7.2M combined gross assets

FundTypeDomicileGross assetsOwners
Upright Capital Usa Llc Hedge Fund Delaware $7.2M 7

People (2)

roster as of Jul 20, 2026
NameRole / titleCredentialsWith firm sinceOwnership
Chiueh, Yowshang, David President Jan 1991 (36y) 75% or more
Liang Chun Wu Registered representative May 2025 (1y)

Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.

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.

Private funds (1, $7.2M gross assets)

FundTypeGross assetsMin. investmentOwners
Upright Capital Usa Llc Hedge Fund $7.2M $250K 7

From Form ADV Section 7.B private fund reporting.

Documents (1 archived)

FormPeriodSize
Form ADV (full filing) 03/30/2026 1.5 MB View · PDF · Source ↗

Archived copies of the firm's regulatory filings, versioned by content hash.

Disciplinary disclosures

Regulatory as of Jul 01, 2024

Allegations: UPRIGHT'S AND CHIUEH'S MANAGEMENT OF UPRIGHT GROWTH FUND "UPUPX", THAT FROM 7/1/17 TO 6/30/20, MADE INVESTMENTS INCONSISTENT WITH UPUPX'S (I) CLASSIFICATION AS A DIVERSIFIED INVESTMENT COMPANY, AND (II) FUNDAMENTAL POLICY ON INDUSTRY CONCENTRATION; AND MISCALCULATED UPUPX'S NAV ON CERTAIN DAYS DURING THE SAME PERIOD. Status: Final Sanction Detail: RETAIN SERVICES OF AN INDEPENDENT COMPLIANCE CONSULTANT Summary: REQUIRED FINES PAID IN INSTALLMENTS. UNDERTAKINGS BEING FOLLOWED ACCORDING TO SCHEDULE.

Disclosure text reproduced verbatim from the firm's own Form ADV filings.

How they charge

  • Percentage of assets under management
  • Commissions
  • Performance-based fees
  • Other fees
  • PACKAGE FEE

Services

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

Custody

Reported custodians

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 30, 2026.

View current Form ADV (SEC/IAPD) ↗