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Uptown Financial Advisors LLC
Uptown Financial Advisors LLC is an independent investment advisory firm headquartered in Dallas, Texas. With 2 employees as of April 2025, the firm specializes in serving high net worth individuals, with additional services for other individuals and charitable organizations. Incorporated in Texas, the firm is registered with the SEC and typically files quarterly Form 13F holdings reports. Established in the last decade, Uptown Financial Advisors focuses on personalized client service and tailored investment approaches.
Investment Strategy
Uptown Financial Advisors LLC provides discretionary investment advisory services primarily to high net worth individuals, allocating assets across equities, ETFs, and select alternative investments. Their strategy emphasizes diversified portfolios with exposure to sectors such as technology, energy, and financials, often utilizing core ETFs (VUG, VO, IJR, SPYV) for broad market coverage. The firm aims to maximize risk-adjusted returns through active portfolio management and ongoing market analysis.
Latest 13F Filing Activity
Uptown Financial Advisors LLC filed their most recent 13F report on Sep 30, 2025 disclosing 70 equity positions and 4 options positions with a total 13F market value of $121M. The fund increased holdings in Vanguard Index FDS, Ishares TR, SPDR Series Trust among other positions. Uptown Financial Advisors LLC reduced exposure to Janus Detroit STR TR, Vanguard Scottsdale FDS, Kinder Morgan Inc. Del among others.
Top Holdings
Equity Positions (70)
| Ticker | Security | Weight | Market Value | Shares | Avg Cost | Price | Change (QoQ) |
|---|---|---|---|---|---|---|---|
V VUG | VANGUARD INDEX FDS | 12.31% | $14.9M | 31,156 | $409.83 | $479.61 | +$1.2M |
V VO | VANGUARD INDEX FDS | 7.60% | $9.2M | 31,413 | $263.92 | $293.74 | +$484.1K |
I IJR | ISHARES TR | 6.96% | $8.4M | 71,081 | $114.32 | $118.83 | +$817.1K |
S SPYV | SPDR SERIES TRUST | 6.68% | $8.1M | 146,458 | $51.37 | $55.33 | +$663.7K |
S SPEM | SPDR INDEX SHS FDS | 5.45% | $6.6M | 141,170 | $38.48 | $46.81 | +$628.2K |
Options Positions (4)
| Ticker | Security | Action | Type | Notional Value | Contracts | Underlying Price | Premium Paid | Change (Contracts) | Change (Value) |
|---|---|---|---|---|---|---|---|---|---|
C CRWV | COREWEAVE INC | Bought | Put | $5.0M | 362 | $136.85 | $150.90 | +168 | +$1.8M |
C CRWV | COREWEAVE INC | Bought | Call | $2.3M | 168 | $136.85 | $139.19 | +153 | +$2.1M |
X XLU | SELECT SECTOR SPDR TR | New | Put | $174.4K | 20 | $87.21 | $87.21 | +20 | +$174.4K |
X XLU | SELECT SECTOR SPDR TR | New | Call | $174.4K | 20 | $87.21 | $87.21 | +20 | +$174.4K |
Industry Allocation
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