Youxi Liu

Employer firm

Upstart Wealth Management, LLC CRD 173728

$386M regulatory AUM 6 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Upstart Wealth Management, Llc

New York, NY • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2026-05-28
TX	RA	APPROVED	2021-08-05

CT RA
APPROVED

Since 2026-05-28
TX RA
APPROVED

Since 2021-08-05

Branch Locations

East Haddam, CT • United States

New York, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Upstart Wealth Management	East Haddam	CT	07/2021	Present
Unemployed	N/A	MA	12/2020	07/2021
Federmann Financial Advisors Inc.	Rocky Point	NY	10/2017	11/2020
Federmann Financial Advisors Inc	Rocky Point	NY	07/2013	09/2017
Paradigm Wealth, Inc. (Trayecto)	Durham	NC	10/2022	Present
Upstart Wealth Management	East Haddam	CT	01/2026	Present

07/2021 → Present

Upstart Wealth Management

East Haddam, CT
12/2020 → 07/2021

Unemployed

N/A, MA
10/2017 → 11/2020

Federmann Financial Advisors Inc.

Rocky Point, NY
07/2013 → 09/2017

Federmann Financial Advisors Inc

Rocky Point, NY
10/2022 → Present

Paradigm Wealth, Inc. (Trayecto)

Durham, NC
01/2026 → Present

Upstart Wealth Management

East Haddam, CT

Other Businesses

1. Youxi Liu 2. Not investment-related 3. Personal residence 4. Periodic independent consulting to software, education, tax, and other professional service providers 5. Sole proprietor 6. Start date: 10/12/2022 7. 5-10 hours per month; more or less for temporary periods during project sprints. 8. 0 hours during trading hours 9. Periodic independent consulting to software, education, tax, and other professional service providers

Designations

Certified Financial Planner
Personal Financial Specialist

View on SEC IAPD