Wealth manager, independent · Nacogdoches, TX
Uptick Partners, LLC
SEC-registered investment adviser · CRD 324250 · SEC 801-127235
At a glance
Uptick Partners, LLC is an SEC-registered investment adviser based in Nacogdoches, Texas, with $1.1B in regulatory assets under management as of its Form ADV filed July 15, 2026. It reports 1,135 individual clients, 375 of them high-net-worth, holding an average of about $0.9 million each, and 25 employees. That ranks it 1039th among the nation’s 5,657 independent wealth management RIAs and 67th of 367 in Texas. It reports 3 custodians for its clients’ separately managed accounts: BNY Pershing, Charles Schwab and Raymond James.
Main office 936-800-0800uptickpartners.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.1B
- Rank among independent wealth managers
- #1,039 of 5,657
- Rank among all SEC RIAs
- #5,188 of 17,210
- Rank in Texas
- #67 of 367
- Individual clients
- 1,135
- High-net-worth clients
- 375
- Accounts
- 3,886
- Discretionary
- 100% of AUM
- Employees
- 25
- Advisory staff
- 25
- Offices
- 9
Owners and executives on its Form ADV
- Jason M. BarberManaging Member, Chief Executive Officer, Chief Compliance Officer and Founder
- Steven W. BarberManaging Member, Chairman and Founder
- Taylor PankratzManaging Member, Chief Operating Officer and Founder
Custody and brokerage
Broker-dealer
No broker-dealer ties
Uptick Partners, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 375 | $784M | 74% |
| Individuals | 760 | $276M | 26% |
| Corporations or other businesses | 1 | $2M | <1% |
| Charitable organizations | 3 | $1M | <1% |
Disciplinary disclosures
Uptick Partners, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗uptickpartners.com ↗
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The full record on Uptick Partners, LLC
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, 2 years of filings
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- Growth over one, three and five years
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- Rank against 3,389 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Texas
All of Texas →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Integrity Advisory SolutionsDallas | $1.1B | 2,387 |
| Coppell Advisory Solutions LLCDallas | $1.1B | 8,848 |
| Austin Wealth Management, LLCAustin | $1.1B | 580 |
| Sequent Asset Management, LLCHouston | $1.1B | 314 |
| Paragon Financial AdvisorsCollege Station | $1.0B | 437 |
| Perryman Financial Advisory, Inc.Dallas | $1.0B | 510 |
Background
Questions
How much does Uptick Partners, LLC manage?
Uptick Partners, LLC reports $1.1B in regulatory assets under management across 3,886 accounts, 100% of it on a discretionary basis, on its Form ADV filed July 15, 2026.
How many clients does Uptick Partners, LLC have?
It reports 1,135 individual clients: 375 high-net-worth individuals and 760 other individuals. Individuals account for about 100% of its regulatory assets.
Where is Uptick Partners, LLC headquartered?
Its main office is in Nacogdoches, Texas. It reports 9 offices in total and 25 employees, 25 of whom perform investment advisory functions.
How does Uptick Partners, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Uptick Partners, LLC use?
It reports 3 custodians for its clients’ separately managed accounts: BNY Pershing, Charles Schwab and Raymond James. On Schedule D of its Form ADV filed July 15, 2026, it reports these amounts held: BNY Pershing ($473M); Charles Schwab ($396M); Raymond James ($128M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Uptick Partners, LLC a hybrid RIA with a broker-dealer?
Uptick Partners, LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Uptick Partners, LLC a fiduciary?
As an SEC-registered investment adviser, Uptick Partners, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Uptick Partners, LLC’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 (2026-07-15), 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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →