Asset manager · New York, NY
Tradeup Wealth Management, Inc.
SEC-registered investment adviser · CRD 335362 · SEC 801-133022
At a glance
Tradeup Wealth Management, Inc. is an SEC-registered investment adviser based in New York, New York, with $0 in regulatory assets under management as of its Form ADV filed May 11, 2026. By Form ADV it is a asset manager, ranked 2,792nd of 3,218 asset managers and 16,777th of 17,210 SEC-registered advisers by assets.
Main office 646-978-5188tradeup.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $0M
- Rank among asset managers
- #2,792 of 3,218
- Rank among all SEC RIAs
- #16,777 of 17,210
- Rank in New York
- #2,526 of 2,591
- Clients
- 0
- Accounts
- 0
- Discretionary
- 0% of AUM
- Employees
- 5
- Advisory staff
- 5
- Offices
- 1
Owners and executives on its Form ADV
Custody and brokerage
Custodian
Tradeup Wealth Management, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Tradeup Wealth Management, Inc. is a hybrid RIA: 5 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Tiger Brokers (AU) PTY LTD, Tiger Brokers (HK) Global Limited, Tiger Brokers (NZ) Limited, Tiger Brokers (singapore) PTE. LTD., Tiger Fintech (NZ) Limited, Tradeup Securities, Inc. and US Tiger Securities, Inc..
- Tiger Brokers (AU) PTY LTD
- Tiger Brokers (HK) Global Limited
- Tiger Brokers (NZ) Limited
- Tiger Brokers (singapore) PTE. LTD.
- Tiger Fintech (NZ) Limited
- Tradeup Securities, Inc. ↗CRD 18483
A self-clearing broker-dealer: it holds client brokerage accounts itself. Its annual audited report filed with the SEC, March 2026
- US Tiger Securities, Inc. ↗CRD 120583
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, April 2026
Its Form ADV brochure (filed December 2025) names Tradeup Securities as the broker-dealer its advisers are registered with.
In some cases, the supervised persons of TradeUP Wealth Management may also be dually employed as registered representatives with TradeUP Securities, Tiger Securities,Tradingfront, TradeUP, TradeUP Crypto.
Disciplinary disclosures
Tradeup Wealth Management, Inc. answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗tradeup.com ↗
AtlasMembers
The full record on Tradeup Wealth Management, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 1 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 626 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Tradeup Wealth Management, Inc. manage?
Tradeup Wealth Management, Inc. reports $0 in regulatory assets under management, on its Form ADV filed May 11, 2026.
What kind of firm is Tradeup Wealth Management, Inc.?
Tradeup Wealth Management, Inc. is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. A public reporting company controls it.
Does Tradeup Wealth Management, Inc. have any disciplinary history?
Tradeup Wealth Management, Inc. answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Tradeup Wealth Management, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-05-11), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →