SourcingSourcing

UTA LLC

C47
CRD 315427·SEC 801-121768·VANCOUVER, WA
AUM
$214.6M
$100M-$500M
Est. Revenue
$2.1M
@ 1% on AUM
Est. EBITDA
$644K
@ 30% margin
Est. Deal Value
$5.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
UTA LLC
CRD
315427
SEC file #
801-121768
EIN
923483611
DBA names
—

Economics

AUM
$214.6M
AUM band
$100M-$500M
AUM trajectory
'22'26
$120.8M → $214.6M▲ +78%
Client mix
Individuals Other59
Individuals High Net Worth43
Corporations1

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'22'26
2 advisors → 2 advisors▬ 0%
Primary office
VANCOUVER WA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsEducational Seminars Workshops
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
01/12/2026
ADV-W filed at
—
Website
uptownadv.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
WEERARATNE, ASOKA, GAMINEE
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
WEERARATNE, ASOKA, GAMINEE
BIXBY, JACKIE, LEE
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
UPTOWNADV.COM
Rdap Domain Creation Date
2021-06-15T18:20:25Z
Rdap Firm Age Years
5
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001975987
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2023-05-03
Edgar Last Filing Date
2023-05-03
Edgar Form D Count
1
Edgar Form D Offerings
2023-05-032023-05-03 · 0001104659-23-055134

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.2328
Soi Zip Pct 200k Plus
0.0498
Soi Zip Returns 200k Plus
370
Soi Zip Total AGI
566,614
Fdic Zip Total Deposits
1,193,096,000
Fdic Zip Branch Count
53
Fdic Zip Top Banks
Northwest National Bank
Washington Mutual Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (27)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
860 WASHINGTON STREET6TH FLOORNEW YORK, NY 10014
Business
860 WASHINGTON STREET6TH FLOORNEW YORK, NY 10014
Edgar EIN
923483611
Edgar Recent Filings
D2023-05-03 · 0001104659-23-055134
Fdic Zip Branches Raw
Washington Mutual, A FSBVancouver, WA
Northwest National BankVancouver, WA
Fdic Zip HHI
2916.59
Fdic Zip Top Bank Share Pct
39.98
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-06-15T18:20:25Z
Rdap Domain Last Changed
2026-03-30T18:33:09Z
Rdap Nameservers
Ns43.domaincontrol.comNs44.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI20,604
Returns1,590
Stub 2
AGI68,482
Returns1,830
Stub 3
AGI83,545
Returns1,360
Soi Zip Total Business Income
19,361
Soi Zip Total Cap Gains
18,174
Soi Zip Total Dividends
6,977
Soi Zip Total Returns
7,430
Top Owner CRD
2614002
Trust Company Affiliate
No

People (2)

2
WEERARATNE, ASOKA, GAMINEE
IAR · Direct Owner · 87.5%
2614002
BIXBY, JACKIE, LEE
IAR · Executive Officer · 2.5%
3225372