Upstate Advisors Group
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$21,884,000
Total clients
8
0% high-net worth
Total advisors
2
of 3 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
4
Average account size
$2,735,500
About
Upstate Advisors Group provides investment advisory and portfolio management services exclusively to Taft-Hartley (multi‑employer) pension plans, working with plan sponsors, trustees and committees to implement investment policy and monitor fund and manager performance. The firm delivers asset-allocation advice, fund‑menu selection and monitoring, written quarterly reports, and an annual in‑person review for trustees.
The firm’s approach emphasizes strategic, buy‑and‑hold asset allocation supported by fundamental analysis and global diversification, and it generally manages client assets on a discretionary basis in accordance with client‑established Investment Policy Statements. UAG monitors manager performance and risk profiles on a quarterly basis and adapts strategies to changes in client objectives or market conditions.
Compared with many peers, UAG is a small, specialist advisory practice—two advisors managing roughly $21.9 million for eight plan clients—and it serves only institutional Taft‑Hartley plans rather than individual or high‑net‑worth investors. The firm’s representatives are also registered representatives of a broker‑dealer (Securities America, Inc.) and are licensed insurance agents, a dual registration the brochure notes can create potential conflicts because commission‑based insurance and brokerage compensation are earned separately from the firm’s advisory services.
Client services
Occupation focus
Fee options
Flat annual fees negotiated per client, generally ranging from $7,500 to $40,000 or more for asset allocation and investment advice without portfolio management.
$0 - $500,000: 1.00% annually $500,001 - $750,000: 0.75% annually $750,001+: 0.50% annually
Main office location
Upstate Advisors Group
453 South Main Street
North Syracuse NY 13212, United States
Number of offices
1
Most active in
New York
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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Lawyer
They provide legal services, typically billed separately.
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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.
Forms ADV
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