{"url":"https://nivawealth.com/firms/barrett-upton-capital-partners-326104","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/326104","regulatoryAum":182250000,"crd":"326104","history":[{"filedOn":"2023-07-29","regulatoryAum":0,"clients":0,"employees":6,"offices":2},{"filedOn":"2024-03-29","regulatoryAum":49825000,"clients":1,"employees":8,"offices":2},{"filedOn":"2025-07-07","regulatoryAum":96225000,"clients":1,"employees":8,"offices":2},{"filedOn":"2026-03-26","regulatoryAum":182250000,"clients":1,"employees":9,"offices":2}],"secFileNumber":"801-127797","legalName":"Barrett Upton Capital Partners LLC","displayName":"Barrett Upton Capital Partners","slug":"barrett-upton-capital-partners-326104","website":"https://barrettupton.com/","classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"100 South Saunders Road, Suite 210","city":"Lake Forest","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60045"},"tradeNames":[],"registration":{"secApproved":"1 May 2023","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":9,"advisory":6,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"regulatory":182250000,"discretionary":182250000,"discretionaryAccounts":4,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":182250000}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Barrett Upton Capital Partners does not have custody of client assets.","leadership":[{"name":"Nicholas Kochanski","title":"Chief Financial Officer","crd":"4608208"},{"name":"Elizabeth Watkins","title":"Chief Compliance Officer","crd":"2272542"},{"name":"David Keevins","title":"Co-Chief Investment Officer and Managing Member","crd":"2194433"},{"name":"Andrew Krei","title":"Co-Chief Investment Officer","crd":"5967208"},{"name":"Eric Schmitz","title":"Director","crd":"6482418"}],"ownership":[{"label":"Crescent Grove Holdings, LLC","detail":"Shareholder in the 50% to 75% ownership band and a control person, since March 2023."},{"label":"Andrew Krei","detail":"Co-chief investment officer in the 10% to 25% ownership band and a control person, since March 2023."},{"label":"Eric Schmitz","detail":"Director in the 5% to 10% ownership band and a control person, since March 2023."},{"label":"David Keevins","detail":"Indirect owner: founder, co-chief investment officer of Crescent Grove Holdings, LLC and a control person, since March 2023.","parent":"Crescent Grove Holdings, LLC"},{"label":"Gregg George","detail":"Indirect owner: founder, chief legal officer of Crescent Grove Holdings, LLC and a control person, since March 2023.","parent":"Crescent Grove Holdings, LLC"},{"label":"Nicholas Kochanski","detail":"Indirect owner: founder, chief financial officer of Crescent Grove Holdings, LLC and a control person, since March 2023.","parent":"Crescent Grove Holdings, LLC"}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"100 South Saunders Road, Suite 210","city":"Lake Forest","headquarters":true}]},{"state":"Wisconsin","offices":1,"addresses":[{"street":"313 N Plankinton","city":"Milwaukee"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"847-752-0292","stateRegisteredReps":0,"otherAdviserReps":6,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":"0","assetMix":[],"privateFunds":4},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/326104/PDF/326104.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Barrett Upton Capital Partners have?","answer":"Barrett Upton Capital Partners has 1 client and manages $182 million for them, as of March 2026. They include 1 pooled investment vehicle.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Barrett Upton Capital Partners offer?","answer":"Barrett Upton Capital Partners provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Barrett Upton Capital Partners have?","answer":"Barrett Upton Capital Partners has 0 investment adviser representatives registered with state securities authorities, out of 9 employees, and 6 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Barrett Upton Capital Partners?","answer":"Barrett Upton Capital Partners’ direct owners are Crescent Grove Holdings, LLC (50% to 75%), Andrew Krei (10% to 25%) and Eric Schmitz (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Barrett Upton Capital Partners get paid?","answer":"Barrett Upton Capital Partners is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Barrett Upton Capital Partners registered with the SEC?","answer":"Yes, Barrett Upton Capital Partners has been registered with the SEC as an investment adviser since 1 May 2023. Its CRD number is 326104 and its SEC file number is 801-127797.","source":"Form ADV Part 1A, Item 1, filed 26 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Barrett Upton Capital Partners?","answer":"Barrett Upton Capital Partners’ main office is at 100 South Saunders Road, Suite 210, Lake Forest, IL 60045. Its phone number is 847-752-0292. Its website is barrettupton.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}