About Us

Upland Private Wealth was created to provide our clients with a better overall experience through richer access to the financial solutions that may be right for their particular needs. As an independent advisory firm, we are not tethered to a corporate agenda or constrained in delivering products from only one institution. The investment or planning solutions we may recommend can be drawn from a full an array of resource providers. In fact, despite our size, we actually have a larger toolbox than a typical advisor at a large financial institution who’s restricted to offering only products from that bank or brokerage. Our freedom allows us to be a true fiduciary, meaning that we put our clients’ interests ahead of those of our firm.

* Upland Private Wealth is a DBA of Sanctuary Securities, Inc. and Sanctuary Advisors, LLC; however, we own 100% of our independent firm. To provide our clients with the services we offer, we are Registered Representatives of Sanctuary Securities Inc. (Member FINRA, SIPC) and Investment Advisor Representatives of Sanctuary Advisors, LLC, an SEC Registered Investment Adviser.

First and foremost, you will benefit from the collaborative approach we take in helping you identify your values and pursue your goals and dreams.

Access to a Broader Marketplace: Because we’re independent and own our own firm, we work in an “open architecture” environment, which means that we can access best-in-class products and services, including banking and lending solutions, from a wide variety of resource partners.

Robust Planning Solutions: We use advanced planning software from eMoney, a new opportunity for many of our clients. This tool has robust capabilities that will allow you, and our team, to view, in real time, your complete financial picture, including assets held at other firms. eMoney also has a secure, user-friendly “Vault” which enables you to safely store important documents, such as trusts, wills, tax filings, insurance documents, titles, etc. You will be able to choose to share the uploaded documents with our team, in cases where it is helpful for us to have access to them.

Exceptional Client Service: With your best interests as our only agenda, our team is free to focus exclusively on addressing your individual service needs.

Your day-to-day experience with us will not change. However, an important decision underlying the launch of Upland Private Wealth is our selection of BNY Mellon | Pershing as our custodian. Serving more than seven million investor accounts worldwide, Pershing is owned by BNY Mellon, which is the longest standing operating bank in the U.S., surpassing 235 years. Though our name and logo have changed, our commitment to you is amplified by our ability to act in your best interest without corporate policies that could compromise our actions. Your account holdings (with a few minor exceptions) and fees will remain unchanged. The transfer of your accounts to BNY Mellon | Pershing will not create a taxable event (again, with few, minor exceptions).

While we would have enjoyed the opportunity to share our plans with you in advance, legal considerations and contractual restrictions prevented us from doing so. We are committed to respecting and abiding by those covenants as investment professionals, even though it was personally challenging to not have the ability to speak with you beforehand. We hope you can appreciate the situation we were in.

We are able to leverage the technology, tools, and standardized processes available through Sanctuary Wealth that help maximize scalability and manage risk so that we can reinvest time where it matters most—with clients like you. By partnering with Sanctuary, we can deliver operational excellence, maintain a strong culture of compliance, and offer a robust cybersecurity program, which will safeguard the information clients entrust to our guidance. Sanctuary also empowers its partner firms with access to a vibrant community of like-minded, elite independent financial advisors. The advisors in this peer group share best practices and we can tap into our community’s intellectual capital to deliver more specialized expertise – and investment opportunities – to the clients of Upland Private Wealth.

The safety and security of your assets is of critical importance to us. With that in mind, and after a rigorous due diligence process, we selected BNY Mellon | Pershing as our custodian based on their infrastructure, research, technology, and service capabilities. We are incredibly impressed with the measures they take to protect client assets, and we are reassured by their strength, size, and reputation in the industry. With over $47 trillion in assets under custody and/or administration. BNY Mellon is the largest custodian in the world by a significant margin. Pershing is an industry leader providing clearing and custody services in 65 global markets, with execution services in over 60 markets globally and facilitating the trading and conversion of 50 currencies.

The core strategies we use to manage your assets will not change, and of course, our investment management solutions are always specifically tailored to your risk parameters, timeline, and long-term objectives. What will improve, however, are certain capabilities, including our enhanced interactive financial planning, as well as broader access to more investment products and strategies, created by working in an “open architecture” environment, as described in Question 2.

Wherever your loans or lines of credit are now, keep them there. If you want a new loan, we can help source a new competitive rate. As an independent firm, we now have the freedom to pursue loans and lines of credit for our clients, identifying the best terms and rates for each situation.

Yes—and all for the better. Through Upland Private Wealth, we will be able to service your accounts with greater ease and flexibility. For example, when markets change or your needs evolve, it will be easier for us to monitor all your holdings and adjust your plans and investments.

No, the fees we charge as an investment advisor are the same as at our previous firm. Today our clients benefit from what Upland Private Wealth can now access: best-in-class products, services, and technologies that were not available in our previous environment. In fact, with our new custodian, BNY Mellon | Pershing, there will be no transfer fees, ATM fees (at any ATM), or account maintenance fees.

Once you sign the account opening and transfer documents found in the Welcome Kit we send, we will submit a request to our prior firm to begin the transfer process. The transfer process usually takes 5 to 10 business days to complete, once submitted to the prior firm. We will monitor your accounts daily for progress and confirm once all assets have transitioned and are posted to your account at Upland Private Wealth. Once your accounts have transferred, we will work with you to re-establish any recurring payments and other transfers you may currently have.

You will be able to view your assets by utilizing the Client Login section of our new website www.uplandprivatewealth.com. Once you log in, you will have the same type of access to all of your accounts and the ability to utilize services as you had been accustomed to. You can also install the BNY Mellon | Pershing app on your phone to view your assets, view activity in your accounts, and perform services such as depositing checks into your accounts.

Our new office is located at:
615 South Beltline Highway East
Scottsbluff, NE 69361
308-310-4050

The total process will take approximately two weeks from the date you return our Welcome Kit transition paperwork to our team, and we will do everything we can to ensure the transition is a positive experience. It’s likely you will receive a call from our prior firm asking you to initiate a relationship with a randomly assigned advisor, who will claim to be able to serve you better. We sincerely believe that the opportunity to retain a longstanding relationship with us – with our personal, proven commitment to your individual needs, combined with the newly available benefits of our independent firm – will outweigh any minor inconvenience posed by the transition itself.

You will find all the necessary documents relevant to your transition, including information about our new firm, Upland Private Wealth, and the safety and security of our custodian, BNY Mellon | Pershing. Please contact us to arrange a meeting at your convenience, so we can review the materials together.