9AT: UPRIGHT FINANCIAL CORP

other names

UPRIGHT FINANCIAL CORP

Adviser Profile

As of Date	05/29/2025
Adviser Type - An investment adviser (or subadviser) to an investment company
Number of Employees	4 33%
of those in investment advisory functions	2 100%
Registration	SEC, Approved, 03/01/1991

AUM^*	83,087,213 55%
of that, discretionary	83,087,213 55%
Private Fund GAV^*	12,520,510 73%
Avg Account Size	1,978,267 70%
% High Net Worth	26.19% 201%
SMA’s	Yes
Private Funds	1
Contact Info	973 xxxxxxx

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Pooled investment vehicles
- Charitable organizations

Advisory Activities

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

Compensation Arrangments

- A percentage of assets under your management
- Commissions
- Performance-based fees

Fund Type	Count	GAV
Fund TypeHedge Fund	Count1	GAV$12,520,510

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser CARMIKA PARTNERS LLP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM72.6m	#Funds-
Adviser CAMELOT EVENT-DRIVEN ADVISORS, LLC	Hedge Fund361.8k	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV361.8k	AUM107.8m	#Funds1
Adviser GRUENSTEIN INVESTMENTS LLC	Hedge Fund19.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV19.1m	AUM57.5m	#Funds1
Adviser GRAVITY CAPITAL MANAGEMENT LLC	Hedge Fund12.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV12.5m	AUM88.0m	#Funds1
Adviser KDHB V CAPITAL MANAGEMENT, LLC	Hedge Fund39.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV39.5m	AUM39.5m	#Funds1
Adviser LW CAPITAL MANAGEMENT, LLC	Hedge Fund60.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV60.4m	AUM90.6m	#Funds2
Adviser DARK HORSE CAPITAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM77.0m	#Funds-
Adviser WALNUT LEVEL CAPITAL LLC	Hedge Fund237.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV237.1m	AUM251.5m	#Funds3
Adviser ORRELL CAPITAL MANAGEMENT	Hedge Fund4.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV4.5m	AUM90.9m	#Funds1
Adviser WYSER-PRATTE MANAGEMENT CO., INC.	Hedge Fund30.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV30.9m	AUM56.7m	#Funds1

Brochure Summary

Overview

A. Our Company & Principals Upright Financial Corp. (“UFC”) is a financial advisory firm registered with Securities and Exchange Commission (SEC) as a Registered Investment Advisor (“RIA”). It has been in business since October 1990. The firm’s principal owner is “David” Yow-Shang Chiueh, MBA. B. Type of Financial Services UFC provides both Comprehensive Financial Planning and Portfolio Management services for private clients and companies through a Full Trading Authorization and/or a Limited Power of Attorney. Comprehensive Financial Planning includes analysis and recommendations on the client’s income, properties, estate, tax, insurance, and retirement planning. Portfolio Management includes investing in stocks, mutual funds, trust accounts, and pension accounts. C. Customization of Accounts UFC meets with clients periodically to review their financial situation, answer questions, and consult if any adjustments are

needed to meet their financial objectives based on their risk tolerance and time horizon. For individual clients who have expressed interests, we offer a financial scenario analysis to help clients make major life decisions such as relocation, career change, retirement projections, cash flow analysis and college planning. We also provide tracking service to monitor our clients account performance against their goals on an ongoing basis. D. Wrap Fee Programs At present UFC operates as a fee based advisor, and is compensated by the clients semiannually in advance. The firm does not offer nor participate in any wrap fee programs. We do not receive any commissions of any kind from brokers, custodians, or investment funds, nor are we supplied with third party research credits. E. Assets Under Management Client assets are managed on a purely discretionary basis. As of 12/31/2022, our discretionary assets under management totaled $53.59 million.

UPRIGHT FINANCIAL CORP

Adviser Profile

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

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Brochure Summary

Overview