Last Updated: 11/12/2026

These Terms of Service (“Terms”) govern your use of uptickrecruiting.com and any related pages, forms, emails and text messages (together, the “Site”). The Site is operated by UpTick Recruiting LLC, a New Jersey limited liability company doing business as UpTick Consulting Partners (“UpTick,” “we,” “us” or “our”). By using the Site, you agree to these Terms and to our Privacy Policy. If you do not agree, please do not use the Site.

1. Who We Are and What We Do

UpTick is a recruiting and transition consulting firm. We help experienced financial advisors understand their options when considering a move between wirehouses, regional firms, independent broker-dealers, hybrid firms and registered investment advisers, and we help firms identify and recruit advisors.

UpTick is compensated by the firms we work with. UpTick does not charge advisors for its services.

2. No Investment, Legal, Tax or Accounting Advice

UpTick is not a registered investment adviser, broker-dealer, law firm or accounting firm. Nothing on the Site or in our communications is investment, securities, legal, tax or accounting advice, or a recommendation to buy or sell any security. Information about compensation, transition packages, deal structures, payout grids or business models is general and educational, and your situation may differ. Consult your own attorney, tax adviser and compliance professionals before making decisions about your career, your firm or your clients.

3. Information on the Site

We try to keep the Site accurate and current, but industry data, firm policies, compensation plans and regulations change often. Figures and examples on the Site may come from third-party sources, may be estimates or hypothetical illustrations, and may be out of date. We do not guarantee that any information on the Site is complete, accurate or current, and we may change it at any time without notice.

4. No Guarantee of Outcomes

Working with UpTick does not guarantee an interview, an offer, a placement, a specific transition package, compensation level or any other result. Hiring and deal decisions are made solely by the firms involved and by you. Past results, testimonials or examples on the Site do not guarantee future results.

5. Confidentiality of Your Inquiry

We treat inquiries from advisors as confidential. We will not share your identity with a prospective firm without your permission. How we collect and use personal information is described in our Privacy Policy.

6. Your Responsibilities as an Advisor

If you are a financial professional, you are solely responsible for complying with your obligations to your current and former firms and to regulators. These include employment and independent-contractor agreements, non-solicitation and confidentiality provisions, the Protocol for Broker Recruiting (if applicable), and FINRA, SEC and state rules. Specifically:

• Do not send UpTick client names, account information, client lists or any other nonpublic personal information about your clients through the Site, email, text message or otherwise. Share only information about your own practice that you are permitted to share, such as aggregate assets, revenue and practice description.
• UpTick cannot advise you on what you may take, say or do when leaving a firm. Get advice from your own attorney.

7. Text Message (SMS) Terms

Program. If you opt in, UpTick Consulting Partners will send you text messages related to your inquiry. These may include appointment scheduling and reminders, follow-ups on your inquiry and, if you agree, occasional updates about advisor transition opportunities.

Consent. By checking the SMS consent box and submitting your phone number, you agree to receive recurring text messages from UpTick Consulting Partners at that number, which may be sent using automated technology. Consent is not a condition of using the Site or of working with UpTick. You may submit the Contact form without agreeing to receive text messages.

Frequency. Message frequency varies based on your inquiry and our interactions with you.

Cost. Message and data rates may apply. Check with your wireless carrier for details.

Opt out. Reply STOP to any message to stop receiving texts. We will send one message confirming your opt-out, and you will receive no further texts unless you opt in again. You may also opt out by contacting us using the information below.

Help. Reply HELP for help, or call 646.734.0334 or email marc@uptickrecruiting.com.

Carriers. Wireless carriers are not liable for delayed or undelivered messages.

Eligibility. You must be at least 18 years old and the account holder, or have the account holder’s permission, for the mobile number you provide.

Privacy. We will not sell or share your mobile phone number or text messaging opt-in data and consent with third parties or affiliates for their marketing or promotional purposes. See our Privacy Policy for details.

8. Email and Other Communications

If you give us your email address, we may email you about your inquiry and, where permitted, about our services and industry insights. You can unsubscribe from marketing emails at any time with the link in the email or by contacting us.

9. Acceptable Use

You agree not to: (a) use the Site for any unlawful purpose; (b) submit false or misleading information or impersonate anyone; (c) interfere with the Site’s security or operation, or try to gain unauthorized access to it; (d) scrape, harvest or collect information from the Site by automated means without our written permission; or (e) upload malicious code.

10. Intellectual Property

The Site and its content, including text, graphics, logos, articles, reports, calculators and the UpTick and UpTick Consulting Partners names and marks, are owned by UpTick or its licensors and protected by intellectual property laws. You may view and share Site content for personal, non-commercial use with attribution. You may not copy, modify, republish or sell it without our prior written permission.

11. Third-Party Sites and Tools

The Site links to third-party services such as scheduling tools, social media platforms and news sources. We do not control those services and are not responsible for their content, privacy practices or availability. Your use of them is governed by their own terms.

12. Disclaimer of Warranties

TO THE EXTENT PERMITTED BY LAW, THE SITE AND ALL CONTENT ARE PROVIDED “AS IS” AND “AS AVAILABLE,” WITHOUT WARRANTIES OF ANY KIND, EXPRESS OR IMPLIED, INCLUDING WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, ACCURACY AND NON-INFRINGEMENT.

13. Limitation of Liability

TO THE EXTENT PERMITTED BY LAW, UPTICK AND ITS MEMBERS, EMPLOYEES AND AGENTS WILL NOT BE LIABLE FOR ANY INDIRECT, INCIDENTAL, SPECIAL, CONSEQUENTIAL OR PUNITIVE DAMAGES, OR FOR ANY LOSS OF PROFITS, COMPENSATION, BUSINESS OR DATA, ARISING FROM YOUR USE OF THE SITE OR RELIANCE ON ITS CONTENT. OUR TOTAL LIABILITY FOR ANY CLAIM RELATING TO THE SITE WILL NOT EXCEED ONE HUNDRED U.S. DOLLARS ($100). SOME JURISDICTIONS DO NOT ALLOW CERTAIN LIMITATIONS, SO SOME OF THESE MAY NOT APPLY TO YOU.

14. Indemnification

You agree to indemnify and hold harmless UpTick and its members, employees and agents from claims, losses and expenses (including reasonable attorneys’ fees) arising from your violation of these Terms or your violation of any law or third-party right, including your obligations to your current or former firm.

15. Governing Law and Disputes

These Terms are governed by the laws of the State of New Jersey, without regard to conflict-of-law rules. You agree that any dispute relating to the Site or these Terms will be brought only in the state or federal courts located in or serving Monmouth County, New Jersey, and you consent to their jurisdiction.

16. Changes to These Terms

We may update these Terms from time to time. The “Last Updated” date shows when they last changed. Changes take effect when posted. If you keep using the Site after that, you accept the updated Terms. Material changes to the text message terms will not apply to messages sent under your earlier consent without notice to you.

17. General

If any provision of these Terms is found unenforceable, the rest remain in effect. Our failure to enforce a provision is not a waiver. These Terms and our Privacy Policy are the entire agreement between you and UpTick about your use of the Site. Separate written agreements, such as client agreements with firms, govern those relationships.

18. Contact Us

UpTick Consulting Partners (UpTick Recruiting LLC)
Address: 140 Broad Street, Suite 200, Red Bank, NJ 07701
Phone: 646.734.0334
Email: marc@uptickrecruiting.com