Benjamin W. Upward

AZIMUTH CAPITAL MANAGEMENT

Bloomfield Hills, MI 48304

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CRD#: 4236684

Professional summary

Benjamin Wolcott Upward is a registered financial advisor currently at AZIMUTH CAPITAL MANAGEMENT located in Bloomfield Hills, Michigan.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Benjamin has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3, Series 55, Series 7, Series 24 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Synchronicity Futures, LLC; Investment related; 2757 Limerick Lane, Troy, MI 48098; RIA, CTA, CPO; Managing Principal; 07/2015; 100 hrs per month; 5 hrs during trading; Management, portfolio management, research. 2) ChainLogic Fund LP; Investment relate4) Totle Inc.d; 90 E. Maple Rd., STE 205, Birmingham, MI 48009; Private fund; CIO, Managing Principal; 11/20/2017; 60 hrs per month; 2 hrs during trading; Management, portfolio management, research. 3) Gecko Governance; Investment related; Unit 9, Regional Development Centre, DkIT, Dundalk, Co. Louth, A91, K8KT Ireland; Regtech software for investment; Advisor; 7/1/2018; 1 hrs per month; 0 hrs during trading; Advisory guidance and support on the product.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Wolcott Upward's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 18, 2023 - Present

AZIMUTH CAPITAL MANAGEMENT

Office #1: 200 East Long Lake Road Suite 160, Bloomfield Hills, MI 48304

RIA

CRD#: 319062

Bloomfield Hills, MI

Past

December 4, 2018 - October 22, 2020

TRESTLE POINT, LLC

CRD#: 138494

BIRMINGHAM, MI

Past

April 12, 2017 - July 31, 2023

SYNCHRONICITY

RIA

CRD#: 288025

TROY, MI

Past

January 4, 2013 - September 29, 2015

ROBINSON CAPITAL MANAGEMENT, LLC

RIA

CRD#: 166182

GROSSE POINTE FARMS, MI

Past

May 23, 2008 - January 2, 2013

TELEMUS INVESTMENT BROKERS, LLC

CRD#: 133957

SOUTHFIELD, MI

Past

February 7, 2001 - February 11, 2008

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

BIRMINGHAM, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AZIMUTH CAPITAL MANAGEMENT

AZIMUTH CAPITAL INVESTMENT MANAGEMENT LLC | AZIMUTH CAPITAL MANAGEMENT LLC | AZIMUTH CAPITAL MANAGEMENT

CRD#: 319062 / SEC#: 801-123448

RIA

Registered Investment Advisory firm - (3/14/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(8/18/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/6/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/20/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/4/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/31/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 6/16/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/6/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/11/2019

General Securities Principal Examination

Principal/Supervisory Exam

Series 30

Date: 10/17/2015

NFA Branch Manager Examination

Current Firm

AZIMUTH CAPITAL MANAGEMENT

AZIMUTH CAPITAL INVESTMENT MANAGEMENT LLC | AZIMUTH CAPITAL MANAGEMENT LLC | AZIMUTH CAPITAL MANAGEMENT

CRD#: 319062 / SEC#: 801-123448

RIA

Registered Investment Advisory firm - (3/14/2022 Approved)

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Contact information

Main Address

200 East Long Lake Road Suite 160, Bloomfield Hills, MI 48304

Mailing Address

Phone number

(248) 433-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AZIMUTH CAPITAL INVESTMENT MANAGEMENT LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,566
AUM (Assets Under Management)	$ 3,826,396,548

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Benjamin W. Upward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Wolcott Upward's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRESTLE POINT, LLC

SYNCHRONICITY

ROBINSON CAPITAL MANAGEMENT, LLC

TELEMUS INVESTMENT BROKERS, LLC

FUNDS DISTRIBUTOR, LLC

Primary Firm SEC Registration

AZIMUTH CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 12/6/2018

Series 65

Date: 3/20/2017

Series 7TO

Date: 12/4/2018

SIE

Date: 10/18/2018

Series 3

Date: 3/31/2014

Series 55

Date: 6/16/2008

Series 7

Date: 2/6/2001

Series 24

Date: 1/11/2019

Series 30

Date: 10/17/2015

Current Firm

AZIMUTH CAPITAL MANAGEMENT

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AZIMUTH CAPITAL MANAGEMENT

TRUST BUT VERIFY

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