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Uptrend Capital LLC

Uptrend Capital LLC is a RIA based in Santa Clara, CA with $15M in AUM and with 3 advisors nationwide.

Advisors (3)

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Name Start Date
Tian Yu Cai Aug 2010
Guang Yang Aug 2010
Choon-Shan Lai Aug 2010
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

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$15.0M
Total Assets
1
Accounts
$15.0M
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

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*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

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Name Title Tenure Date
Tian Yu Cai Managing Member 05/01/2010
Choon-Shan Lai Member 05/01/2010
Xihan Liu Member 05/01/2010
Guang Yang Member 05/01/2010

Affiliated Investment Advisors and Broker Dealers

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No firm affiliates listed.

Principal Office & Place of Business

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Principal Office

Address:
3333 Bowers Avenue, Suite 130
Santa Clara , CA 95054
Phone Number: 408-771-0634
Other Offices Address City State Zip
3333 Bowers Avenue, Suite 130 Santa Clara CA 95054

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Performance-based Fees