UF
Uptown Financial Advisors LLC 13F Filings Tracker & Latest Positions (Q3 2026)
Uptown Financial Advisors LLCCIK: 0002066147
Diversified strategyMomentum followerSector-focused
Total reported value
$140.1M
Reporting period: 2026-09-30 · Number of holdings: 77
Uptown Financial Advisors LLC disclosed 77 holdings in its latest 13F filing for the period ending 2026-09-30, with total reported value of $140.1M and a quarterly turnover rate of 17.1%.
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Personality snowflake
- Concentration
- 19.47
- Portfolio Stability
- 17.08
- Momentum
- 100
- Sector conviction
- 89.86
- Diversification
- 100
- Sizing Uniformity
- 83.32
Uptown Financial Advisors LLC's disclosed holdings carry a Herfindahl concentration index of 0.049 — mathematically equivalent to about 21 equally-sized positions, well below its 77 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 1.67), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 11% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govSold out QQQ
Add VUG
+1.7% $1.0M
Trim XLU
-40.5% -$1.5M
Add SPYV
+1.0% $151.5K
Add VOO
+156.4% $814.9K
Add VDE
-0.9% $519.5K
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | VUG | Vanguard Growth ETF | ETF-Other | 12.21% | +1.62% | +1.72% | |
| 2 | VO | Vanguard Mid-cap ETF | ETF-Other | 7.97% | +0.56% | +1.88% | |
| 3 | IJR | Ishares Core S&p Small-cap E | ETF-Small Cap | 7.80% | +0.05% | +1.22% | |
| 4 | SPYV | Ss Spdr P S&p 500 Value ETF | ETF-Large Cap & Growth | 7.24% | +0.66% | +0.95% | |
| 5 | SPEM | State Street Sp Ptf Em ETF | ETF-Other | 5.84% | +0.52% | +1.35% | |
| 6 | BSV | Vanguard Short-term Bond ETF | ETF-Other | 5.42% | +0.28% | -0.70% | |
| 7 | SPYG | Ss Spdr P S&p 500 Growth ETF | ETF-Large Cap & Growth | 4.18% | +0.43% | -0.34% | |
| 8 | SCHF | Schwab Intl Equity ETF | ETF-Other | 3.61% | +0.31% | +1.67% | |
| 9 | VDE | Vanguard Energy ETF | ETF-Other | 3.08% | +0.58% | -0.87% | |
| 10 | VTV | Vanguard Value ETF | ETF-Other | 2.85% | +0.16% | -1.31% | |
| 11 | BIV | Vanguard Intermediate-term B | ETF-Other | 2.79% | +0.13% | +1.56% | |
| 12 | VEA | Vanguard Ftse Developed ETF | ETF-Other | 2.67% | +0.18% | -0.25% | |
| 13 | VSS | Vanguard Ftse All Wo X-us Sc | ETF-Other | 2.27% | +0.15% | -1.91% | |
| 14 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 2.18% | +0.40% | +10.35% | |
| 15 | NVDA | Nvidia CORP | Stock-Tech | 1.78% | -0.28% | -30.37% | |
| 16 | ET | Energy Transfer LP | Stock-Energy | 1.76% | +0.14% | -3.01% | |
| 17 | IVV | Ishares Core S&p 500 ETF | ETF-Large Cap & Growth | 1.68% | +0.38% | +16.65% | |
| 18 | EPD | Enterprise Products Partners | Stock-Energy | 1.21% | +0.05% | -0.82% | |
| 19 | LQD | Ishr Ibx Usd Invgd Cb Etf-ui | ETF-Corp Bonds | 1.20% | +0.03% | +0.98% | |
| 20 | XLU | St Sr Utl Sl Se Spdr Etf-usd | ETF-Other | 1.18% | -0.92% | -40.45% | |
| 21 | MSFT | Microsoft CORP | Stock-Tech | 1.17% | +0.21% | -18.64% | |
| 22 | BNDX | Vanguard Total Intl Bond ETF | ETF-Other | 0.97% | +0.02% | -2.63% | |
| 23 | VOO | Vanguard S&p 500 ETF | ETF-Large Cap & Growth | 0.94% | +0.61% | +156.40% | |
| 24 | IWM | Ishares Russell 2000 ETF | ETF-Small Cap | 0.74% | — | -0.48% | |
| 25 | IJH | Ishares Core S&p Midcap ETF | ETF-Other | 0.74% | +0.01% | — | |
| 26 | VYM | Vanguard High Dvd Yield ETF | ETF-Other | 0.72% | +0.04% | +0.74% | |
| 27 | SPDW | Ste Str Spdr Pt Dw EU ETF | ETF-Other | 0.71% | +0.04% | -1.28% | |
| 28 | META | Meta Platforms Inc-class A | Stock-Comm Services | 0.68% | +0.21% | +2.67% | |
| 29 | JAAA | Janus Henderson Aaa Clo ETF | ETF-Other | 0.63% | +0.05% | — | |
| 30 | VNQ | Vanguard Real Estate ETF | ETF-Other | 0.61% | +0.01% | +0.55% | |
| 31 | EMXC | Ishares Msci Emr Mrk Ex Chna | ETF-Other | 0.59% | +0.02% | — | |
| 32 | JNK | Ss Spdr Bb High Yield Bond | ETF-High Yield | 0.50% | — | -3.40% | |
| 33 | AVGO | Broadcom Inc | Stock-Tech | 0.49% | -0.03% | -7.51% | |
| 34 | SCHV | Schwab US Large-cap Value | ETF-Other | 0.49% | +0.02% | +0.69% | |
| 35 | MINT | Pimco Enhanced Short Maturit | ETF-Other | 0.45% | +0.12% | +27.34% | |
| 36 | CSCO | Cisco Systems Inc | Stock-Tech | 0.44% | -0.15% | -24.50% | |
| 37 | AGG | Ishares Core U.s. Aggregate | ETF-Other | 0.41% | +0.02% | +3.50% | |
| 38 | IJS | Ishares S&p Small-cap 600 Va | ETF-Other | 0.40% | +0.01% | — | |
| 39 | MUB | Ishares National Muni Bond E | ETF-Other | 0.38% | -0.01% | -4.15% | |
| 40 | IEFA | Ishares Core Msci Eafe ETF | ETF-Other | 0.38% | +0.08% | +15.86% | |
| 41 | AAPL | Apple Inc | Stock-Tech | 0.37% | +0.07% | — | |
| 42 | VGT | Vanguard Info Tech ETF | ETF-Tech | 0.37% | +0.05% | — | |
| 43 | VPU | Vanguard Utilities ETF | ETF-Other | 0.37% | +0.37% | NEW | |
| 44 | ABBV | Abbvie Inc | Stock-Healthcare | 0.37% | +0.05% | +2.30% | |
| 45 | SCHD | Schwab US Dvd Equity ETF | ETF-Other | 0.35% | +0.08% | +18.16% | |
| 46 | VWO | Vanguard Ftse Emerging Marke | ETF-Emerging Markets | 0.34% | +0.03% | +1.13% | |
| 47 | VIG | Vanguard Dividend Apprec ETF | ETF-Other | 0.34% | +0.12% | +46.82% | |
| 48 | JNJ | Johnson & Johnson | Stock-Healthcare | 0.34% | +0.03% | -3.21% | |
| 49 | TXN | Texas Instruments Inc | Stock-Tech | 0.32% | +0.06% | +20.97% | |
| 50 | VBR | Vanguard Small-cap Value ETF | ETF-Other | 0.31% | +0.02% | +5.03% |
1–50 of 77
Portfolio Performance
Performance for Q4 2026
+1.2%
Performance Last 4 Quarters
+15.5%
- Stdev
- +10.4%
- Beta
- +0.75
- Alpha
- +3.5%
- Max Drawdown
- -4%
- Annualized Perf
- +17.5%
- Batting Avg vs S&P
- +40%
- Sortino
- +4.03
- Stutzer
- +0.5
- Treynor
- +0.22
- Sterling
- +1.25
- Calmar
- +4.39
- Information Ratio
- -0.17
- Tracking Error
- +5%
- Stdev Down
- +4.2%
- Winning Months %
- +75%
- Losing Months %
- +25%
- Best 12 Months
- +30.2%
- Worst 12 Months
- +15.5%
- Efficiency Ratio
- +0.63
- Sharpe
- +1.62
- Stdev Sectors
- +15%
- Skewness
- +0.52
- Kurtosis
- +0.53
- Upside Potential
- +5.56
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
Holding changes this quarter
Uptown Financial Advisors LLC's most significant position changes for 2026-09-30: Sold out: Invesco Qqq Trust Series 1 (QQQ); Sold out: ; New buy: Vanguard Utilities ETF (VPU); New buy: Vanguard Int-term Corporate (VCIT); New buy: Ss Technology Select Sector (XLK).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | VUG | Vanguard Growth ETF | +1.6% | +1.72% | Add |
| 2 | SPYV | Ss Spdr P S&p 500 Value ETF | +0.7% | +0.95% | Add |
| 3 | VOO | Vanguard S&p 500 ETF | +0.6% | +156.40% | Add |
| 4 | VDE | Vanguard Energy ETF | +0.6% | -0.87% | Trim |
| 5 | VO | Vanguard Mid-cap ETF | +0.6% | +1.88% | Add |
| 6 | SPEM | State Street Sp Ptf Em ETF | +0.5% | +1.35% | Add |
| 7 | SPYG | Ss Spdr P S&p 500 Growth ETF | +0.4% | -0.34% | Trim |
| 8 | SPY | Ss Spdr S&p 500 ETF Trust-us | +0.4% | +10.35% | Add |
| 9 | IVV | Ishares Core S&p 500 ETF | +0.4% | +16.65% | Add |
| 10 | VPU | Vanguard Utilities ETF | +0.4% | NEW | New buy |
| 11 | SCHF | Schwab Intl Equity ETF | +0.3% | +1.67% | Add |
| 12 | BSV | Vanguard Short-term Bond ETF | +0.3% | -0.70% | Trim |
| 13 | VCIT | Vanguard Int-term Corporate | +0.3% | NEW | New buy |
| 14 | META | Meta Platforms Inc-class A | +0.2% | +2.67% | Add |
| 15 | MSFT | Microsoft CORP | +0.2% | -18.64% | Trim |
| 16 | XLK | Ss Technology Select Sector | +0.2% | NEW | New buy |
| 17 | ✓ | +0.2% | NEW | New buy | |
| 18 | VEA | Vanguard Ftse Developed ETF | +0.2% | -0.25% | Trim |
| 19 | VGSH | Vanguard Short-term Treasury | +0.2% | NEW | New buy |
| 20 | VTV | Vanguard Value ETF | +0.2% | -1.31% | Trim |
| 21 | PSX | Phillips 66 | +0.2% | NEW | New buy |
| 22 | VSS | Vanguard Ftse All Wo X-us Sc | +0.2% | -1.91% | Trim |
| 23 | ET | Energy Transfer LP | +0.1% | -3.01% | Trim |
| 24 | BIV | Vanguard Intermediate-term B | +0.1% | +1.56% | Add |
| 25 | VIG | Vanguard Dividend Apprec ETF | +0.1% | +46.82% | Add |
| 26 | MINT | Pimco Enhanced Short Maturit | +0.1% | +27.34% | Add |
| 27 | SCHD | Schwab US Dvd Equity ETF | +0.1% | +18.16% | Add |
| 28 | IEFA | Ishares Core Msci Eafe ETF | +0.1% | +15.86% | Add |
| 29 | AAPL | Apple Inc | +0.1% | — | Unchanged |
| 30 | TXN | Texas Instruments Inc | +0.1% | +20.97% | Add |
| 31 | IJR | Ishares Core S&p Small-cap E | +0.1% | +1.22% | Add |
| 32 | EPD | Enterprise Products Partners | +0.1% | -0.82% | Trim |
| 33 | CVX | Chevron CORP | +0.1% | +3.05% | Add |
| 34 | ABBV | Abbvie Inc | +0.1% | +2.30% | Add |
| 35 | VGT | Vanguard Info Tech ETF | +0.1% | — | Unchanged |
| 36 | JAAA | Janus Henderson Aaa Clo ETF | +0.1% | — | Unchanged |
| 37 | WFC | Wells Fargo & Co | 0% | +20.88% | Add |
| 38 | SPDW | Ste Str Spdr Pt Dw EU ETF | 0% | -1.28% | Trim |
| 39 | VYM | Vanguard High Dvd Yield ETF | 0% | +0.74% | Add |
| 40 | LQD | Ishr Ibx Usd Invgd Cb Etf-ui | 0% | +0.98% | Add |
| 41 | SCHG | Schwab US Large-cap Growth | 0% | — | Unchanged |
| 42 | JNJ | Johnson & Johnson | 0% | -3.21% | Trim |
| 43 | VWO | Vanguard Ftse Emerging Marke | 0% | +1.13% | Add |
| 44 | BNDX | Vanguard Total Intl Bond ETF | 0% | -2.63% | Trim |
| 45 | EMXC | Ishares Msci Emr Mrk Ex Chna | 0% | — | Unchanged |
| 46 | SCHV | Schwab US Large-cap Value | 0% | +0.69% | Add |
| 47 | JPM | Jpmorgan Chase & Co | 0% | +3.03% | Add |
| 48 | AMZN | Amazon.com Inc | 0% | — | Unchanged |
| 49 | IEMG | Ishares Core Msci Emerging | 0% | — | Unchanged |
| 50 | AGG | Ishares Core U.s. Aggregate | 0% | +3.50% | Add |
1–50 of 83
Filing History
FAQ
What is Uptown Financial Advisors LLC and what type of investor is it?
Uptown Financial Advisors LLC is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2026-09-30), the firm manages a tracked equity portfolio valued at approximately $140.1M, spread across 77 disclosed positions.
What are Uptown Financial Advisors LLC's largest equity positions?
Based on the latest 13F filing, Uptown Financial Advisors LLC's top holdings by market value are:
1. Vanguard Growth ETF (VUG) — $17.1M (12.2%)
2. Vanguard Mid-cap ETF (VO) — $11.2M (8.0%)
3. Ishares Core S&p Small-cap E (IJR) — $10.9M (7.8%)
4. Ss Spdr P S&p 500 Value ETF (SPYV) — $10.1M (7.2%)
5. State Street Sp Ptf Em ETF (SPEM) — $8.2M (5.8%)
What changes did Uptown Financial Advisors LLC make in its most recent portfolio filing?
In the latest reported quarter, Uptown Financial Advisors LLC made 63 notable position adjustments: 6 new positions were initiated, 30 existing holdings were added to, 21 positions were partially reduced, and 6 were completely exited. The largest of these moves: Sold out: Invesco Qqq Trust Series 1 (QQQ); Sold out: ; New buy: Vanguard Utilities ETF (VPU); New buy: Vanguard Int-term Corporate (VCIT); New buy: Ss Technology Select Sector (XLK)
What sectors does Uptown Financial Advisors LLC focus on?
Uptown Financial Advisors LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 42.2%
• Energy: 32.1%
• Communication Services: 9.7%
• Financials: 6.5%
• Health Care: 6.5%
• Consumer Discretionary: 1.7%
* This report is exclusively curated by the AlphaSMO team. AlphaSMO is the web's most authoritative 13F / Inside Trader database, delivering precise insider trading and institutional holdings insights.
Investment Profile
Uptown Financial Advisors LLC returned an annualized 17.5% over the trailing 20 months — outperforming the S&P 500 by 3.5 points — based on a reconstructed track record of its disclosed 13F positions, with a beta of 0.75 (less volatile than the market) and a 40% quarterly batting average against the index.
Its portfolio is broadly diversified and long-term-holding, with 42.2% of the portfolio concentrated in Information Technology.
It has added to its VUG position over the past two quarters (+$3.4M, now $17.1M), while trimming BSV over the same stretch (-$255.1K, still holding $7.6M).
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