# Upper Left Wealth Management

Upper Left Wealth Management is a Bank / Wealth / Trust based in Tampa, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Tampa, United States
- **Region:** North America
- **Address:** Tampa, FL, United States
- **Founded:** 2017
- **Assets under management:** Undisclosed
- **Website:** upperleftwealth.com
- **LinkedIn:** https://www.linkedin.com/company/upperleftwealth

## Regulatory record

- **CRD number:** 288762
- **SEC file number:** 801-123531
- **Registration status:** APPROVED
- **Latest Form ADV filing:** 2026-01-14T06:00:00.000Z
- **Reports private funds:** No
- **Private funds reported:** 0
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/288762

## About

Upper Left Wealth Management launched in 2017 as a Tampa-based registered investment adviser. The firm is structured to serve individual clients, trusts, and business accounts through a combination of asset management and financial planning services. Florida incorporation records and SEC filings confirm the firm's registration as an RIA, operating under a fee-only model that eliminates commission-driven conflicts common among broker-dealers. The firm provides portfolio management and wealth advisory services, though its specific asset-class mix and investment strategy are not publicly detailed. As an RIA, Upper Left is bound by fiduciary duty to place client interests ahead of its own when recommending investments. The firm's scale remains opaque. No public disclosures report total regulatory assets under management, number of clients, or office count beyond the Tampa headquarters. SEC Form ADV filings — required of all RIAs — would contain client counts, AUM ranges, and fee schedules, but these are not self-published by the firm and were not captured in available records. No acquisitions, senior hires, or fund launches have been reported in the trade press since the firm's 2017 founding. Upper Left's structural signature is its simplicity: a single-office RIA in a market flooded by consolidators and aggregator platforms. Unlike the roll-up strategies pursued by Focus Financial or Hightower, Upper Left appears to remain an independent, organically grown practice. This architecture may appeal to clients seeking continuity of advice from a small, owner-operated fiduciary rather than a scaled platform, though succession risk is an unanswered question for any firm without visible next-generation leadership.

## Questions

### Is Upper Left Wealth Management a broker-dealer or an RIA?

Upper Left operates as a registered investment adviser, not a broker-dealer. This means the firm is held to a fiduciary standard requiring it to act in clients' best interests, and it charges fees for advice rather than earning commissions on product sales. The fee-only structure removes transactional incentives that can exist at hybrid firms.

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Last updated: 2026-08-11T02:43:31.692Z

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