Data Breach Notifications

Entity Information

  • Type of Organization: Financial Services
  • Entity Name: Upstream Advisory Group LLC
  • Street Address: 2624 Timber Dr., Ste 309
  • City: Garner
  • State, or Country if outside the US: NC
  • Zip Code: 27529

Submitted By

  • Name: David Potter
  • Title: Counsel
  • Firm name (if different than entity): Baker & Hostetler LLP
  • Telephone Number: (312) 416-6278
  • Email Address: dpotter@bakerlaw.com
  • Relationship to entity whose information was compromised: Outside Counsel

Breach Information

  • Total number of persons affected (including residents): -
  • Total number of Maine residents affected: 2
  • If the number of Maine residents exceeds 1,000, have the consumer reporting agencies been notified:
  • Date(s) Breach Occured: May 21, 2025
  • Date Breach Discovered: August 19, 2025
  • Description of the Breach:
    • Other
  • Information Acquired - Name or other personal identifier in combination with:

Notification and Protection Services

  • Type of Notification: Written
  • Date(s) of consumer notification: September 18, 2025
  • Copy of notice to affected Maine residents: Upstream_ME_App_&_Sample.pdf
  • Date of any previous (within 12 months) breach notifications: N/A
  • Were identity theft protection services offered: Yes
  • If yes, please provide the duration, the provider of the service and a brief description of the service: One year, Epiq, Credit monitoring and identity theft protection services.