UPHOLDINGS – investment adviser, $1.4M regulatory AUM (Form ADV)

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
High-net-worth individuals	1	$1,300,000	92.9%
Pooled investment vehicles	1	$100,000	7.1%

Filing source

Form ADV 1774386 · Jul 11, 2023 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

2 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

THE COMPOUND KINGS FUNDOther Private Fund · Last reported Jul 11, 2023$100KGross asset value

Fund administrator NAV CONSULTING, INC. OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

INTERACTIVE BROKERS LLC
SEC 8-47257

Fund details & source

Fund ID: 805-6969970170
Reported beneficial owners: 1
Minimum commitment: $0

Form ADV 1774386 · Jul 11, 2023 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

UPHOLDINGS: FLAGSHIP FUNDHedge Fund · Last reported Nov 20, 2020$1.51MGross asset value

Fund administrator AKRAM & ASSOCIATES PLLC CARY, North Carolina, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor SPICER JEFFRIES LLP DENVER, Colorado, United States

Custodian INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

SPICER JEFFRIES LLP
PCAOB 349

INTERACTIVE BROKERS LLC
SEC 8-47257

Fund details & source

Fund ID: 805-5648201289
Reported beneficial owners: 6
Minimum commitment: $25K

Form ADV 1468963 · Nov 20, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jul 11, 2023. View historical filings

Reported services

Individual portfolio management · Pooled investment vehicle management

Compensation

Fixed

Principal office

CRD 301340

Filing source

Form ADV 1774386 · Jul 11, 2023 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.