{"url":"https://nivawealth.com/firms/uta-315427","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/315427","regulatoryAum":214570738,"crd":"315427","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"3225372","suffix":null,"lastName":"BIXBY","firstName":"JACKIE","middleName":"LEE"},{"crd":"2614002","suffix":null,"lastName":"WEERARATNE","firstName":"ASOKA","middleName":"GAMINEE"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-30","regulatoryAum":0,"clients":0,"employees":3,"offices":1},{"filedOn":"2022-02-10","regulatoryAum":120753420,"clients":110,"employees":2,"offices":1},{"filedOn":"2023-01-23","regulatoryAum":98123506,"clients":116,"employees":2,"offices":2},{"filedOn":"2024-03-15","regulatoryAum":144700144,"clients":122,"employees":2,"offices":2},{"filedOn":"2025-02-06","regulatoryAum":186732601,"clients":131,"employees":2,"offices":2},{"filedOn":"2026-01-12","regulatoryAum":214570738,"clients":103,"employees":2,"offices":2}],"secFileNumber":"801-121768","legalName":"Uta LLC","displayName":"Uta","slug":"uta-315427","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Washington limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2800 Main Street","city":"Vancouver","state":"WA","stateName":"Washington","country":"United States","postalCode":"98663"},"tradeNames":["Uptown Advisors"],"registration":{"secApproved":"15 July 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2069506.5980392157,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":214570738,"discretionary":183184173,"discretionaryAccounts":177,"nonDiscretionary":31386565,"nonDiscretionaryAccounts":71,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":59,"regulatoryAum":27334919},{"label":"High-net-worth individuals","clients":43,"regulatoryAum":183754754},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":3481065}],"feePrograms":[{"role":"main","program":"Portfolio Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1001319","versionId":1001319,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-01-12","documentName":"ADV2A","fee_rate_low":1,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":25000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning","summary":"Financial planning is billed at $200 to $500 per hour, or as a fixed fee stated in the planning agreement, generally due on completion.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1001319","versionId":1001319,"submittedOn":"2026-01-12","documentName":"ADV2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T17:00:41.502291+00:00","documents":[{"name":"ADV2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1001319","versionId":1001319,"submittedOn":"2026-01-12"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":214570738}],"custodyNote":"Uta does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jackie Bixby","title":"CCO","crd":"3225372"},{"name":"Asoka Weeraratne","title":"Owner","crd":"2614002"}],"ownership":[{"label":"Asoka Weeraratne","detail":"Owner in the 75% or more ownership band and a control person, since July 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Washington","offices":1,"addresses":[{"street":"2800 Main Street","city":"Vancouver","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"360-360-0344","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Educational seminars/workshops"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":81},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":5},{"label":"Cash and cash equivalents","percent":12}],"privateFunds":0},"sources":{"adv1FilingDate":"12 January 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/315427/PDF/315427.pdf","brochureDate":"12 January 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1001319","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Uta have?","answer":"Uta has 103 clients and manages $215 million for them, as of January 2026. They include 59 individual clients, 43 high-net-worth individuals and 1 corporate or other business client.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 12 January 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Uta offer?","answer":"Uta provides financial planning, portfolio management for individuals and small businesses, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Uta charge?","answer":"Uta charges 1.00%–2.00% a year for its Portfolio Management. The fee is billed in advance, is negotiable and requires an account of at least $25,000.","source":"ADV2A, filed 12 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Uta use?","answer":"Uta’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $215M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 January 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Uta have?","answer":"Uta has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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":"What does Uta invest in?","answer":"At the end of its last fiscal year, Uta’s separately managed accounts held 81% exchange-traded equities, 12% cash and equivalents, 5% registered funds (mutual funds, ETFs, BDCs), 1% U.S. government and agency bonds and 1% state and local bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Uta have a minimum investment?","answer":"Yes, Uta’s minimum account size for its Portfolio Management is $25K.","source":"ADV2A, filed 12 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Uta?","answer":"Uta’s direct owner is Asoka Weeraratne (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 12 January 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Uta get paid?","answer":"Uta is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees 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":"How do I contact Uta?","answer":"Uta’s main office is at 2800 Main Street, Vancouver, WA 98663. Its phone number is 360-360-0344.","source":"Form ADV Part 1A, Item 1.F, filed 12 January 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."}