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President, Chief Compliance Officer, Managing Member, Designated Officer · Uptown Capital Advisors

James K. Sawers

CRD 6331584 · Named on Form ADV at one SEC-registered adviser

At a glance

Uptown Capital Advisors, an SEC-registered wealth manager based in Dallas, TX with $154 million in regulatory assets, lists James K. Sawers on its Form ADV as President, Chief Compliance Officer, Managing Member, Designated Officer, a control person.

Firms and roles

  • Uptown Capital AdvisorsPresident, Chief Compliance Officer, Managing Member, Designated OfficerWealth manager · Dallas, TX · $154M in regulatory assets

AtlasMembers

James’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For James’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.