# UPRIGHT FINANCIAL CORP

UPRIGHT FINANCIAL CORP of LIVINGSTON, NJ is an SEC-registered investment adviser.

## Registration

- CRD: 107303
- Type: SEC-registered investment adviser
- SEC file number: 801-38340
- Location: 615 WEST MT PLEASANT AVE, LIVINGSTON, NJ, 07039
- Phone: 973-533-1818
- Latest filing: 2026-03-30
- Regulatory AUM: $98.0M
- Discretionary AUM: $98.0M
- Clients: 4
- Accounts: 36

## Business model

- Compensation: % of AUM, Performance, Commissions, Other
- Clients served: Individuals, High net worth, Pensions, Investment cos

## Officers, owners & control persons (4)

| Name | Role | Location |
| --- | --- | --- |
| Yowshang David Chiueh | CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| CHIUEH YOWSHANG DAVID | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER / MANAGER; PRESIDENT | — |
| JOU CAROL | CHIEF COMPLIANCE OFFICER | — |
| Yen Chieh Kevin Huang | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (8)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2025-03-17 | civil | DEFENDANTS ENGAGED IN A MULTI-YEAR FRAUDULENT SCHEME TO OPERATE THE MUTUAL FUND UPRIGHT GROWTH FUND AS A HIGHLY CONCENTRATED FUND IN VIOLATION OF THE FUND'S INVESTMENT MANDATE AND DEFENDANTS' FIDUCIARY DUTIES. DEFENDANTS ALSO VIOLATED OTHER IMPORTANT LEGAL REQUIREMENTS FOR MUTUAL FUNDS. | Pending | — |
| 2021-11-24 | regulatory | UPRIGHT'S AND CHIUEH'S MANAGEMENT OF UPRIGHT GROWTH FUND "UPUPX", THAT FROM 7/1/17 TO 6/30/20, MADE INVESTMENTS INCONSISTENT WITH UPUPX'S (I) CLASSIFICATION AS A DIVERSIFIED INVESTMENT COMPANY, AND (II) FUNDAMENTAL POLICY ON INDUSTRY CONCENTRATION; AND MISCALCULATED UPUPX'S NAV ON CERTAIN DAYS DURIN… | Final | $517K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/107303/brochure
- Similar advisers: https://search.stillhousedata.com/firm/107303/similar
- Related entities: https://search.stillhousedata.com/firm/107303/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/107303

---

Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.