Uptown Capital Advisors
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$148,725,333
Clients
136
Advisors
2
of 2 employees
About
Uptown Capital Advisors provides discretionary investment management and comprehensive financial planning to individuals — including high-net-worth clients — as well as trusts, estates, corporations and not‑for‑profit entities. Advisory services include asset allocation and security selection, retirement and college planning, insurance planning, and implementation of the CFP Board six‑step planning process for financial planning.
The firm’s investment approach emphasizes long‑term, cost- and tax‑efficient implementation by identifying clients’ time horizons and risk tolerances, using low‑cost, diversified investments, periodic rebalancing, and tax‑loss harvesting where appropriate. Uptown Capital Advisors uses fundamental and cyclical analysis in security selection and may invest across a broad range of instruments, including mutual funds, ETFs, equities, fixed income and options.
A noteworthy feature disclosed in the brochure is the firm’s affiliation with licensed attorneys; the principals are attorneys who do not actively practice law or market legal services to advisory clients, and the firm describes policies to maintain the separation of legal and advisory activities. The firm also discloses an institutional custodial relationship with Charles Schwab, a formal Code of Ethics, and written policies on business continuity and cybersecurity to address operational and conflict‑of‑interest risks.
Client services
Expertise
Fee options
$0 - $250,000: 0.95% annually $250,000 - $1,000,000: 0.90% annually $1,000,001 - $2,000,000: 0.80% annually $2,000,001 - $5,000,000: 0.75% annually $5,000,001 - $10,000,000: 0.70% annually Over $10,000,000+: Negotiable
Account minimum: $100,000
Main office
2911 Turtle Creek Blvd, Suite 1100
Dallas TX 75219
Advisors at this office
2
Most active in
Louisiana · Texas
Also doing business as
Uptown Capital Advisors · Uptown Financial Advisors LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
James S
Series 65
Dallas, TX
Uptown Capital Advisors
James Sawers is a financial advisor at Uptown Capital Advisors in Dallas, TX, holding a Series 65 designation with 11 years of industry experience. He has been with Uptown Capital Advisors since 2014. Sawers is also a licensed attorney, though he does not engage in investment-related legal activities. Uptown Capital Advisors provides financial planning and discretionary investment management to individuals, trusts, estates, not-for-profit organizations, and business entities. The firm emphasizes long-term, cost- and tax-aware portfolio construction using diversified investments and periodic rebalancing, and it integrates fundamental and cyclical analysis across a broad range of securities.
Christopher C
Series 65
Dallas, TX
Uptown Capital Advisors
Christopher Carrie is a Series 65-licensed financial advisor with 12 years of industry experience. He is currently with Uptown Capital Advisors, where he has worked since 2014, and previously worked at K&C Capital Allen LP. Outside of advisory work, he is a managing member of a restaurant business in Allen, Texas. Uptown Capital Advisors provides discretionary investment management and comprehensive financial planning to individuals, trusts, estates, corporations, and not-for-profit entities. The firm’s investment approach focuses on long-term, cost- and tax-efficient strategies, employing fundamental and cyclical analysis across a diverse range of assets.
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