Up Capital Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, and publishing newsletters. Financial planning was provided to 11–25 clients last fiscal year.
Up Capital Management reports 167 clients. They include 105 individual clients, 43 high-net-worth individuals, and 13 pension and profit-sharing plans. Of its assets, 75.5% ($161M across 411 accounts) are managed with discretion; $52M across 9 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 63% | 18% |
| High-net-worth individuals | 26% | 44% |
| Pension and profit-sharing plans | 8% | 28% |
| Charitable organizations | Fewer than 5 | 5% |
| Corporations and other businesses | 4% | 5% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 105 | $38.9M | 18.3% | $371K |
| High-net-worth individuals | 43 | $93M | 43.8% | $2.16M |
| Pension and profit-sharing plans | 13 | $59.9M | 28.2% | $4.61M |
| Charitable organizations | Fewer than 5 | $10M | 4.7% | — |
| Corporations and other businesses | 6 | $10.7M | 5.0% | $1.78M |
| Total | 167 | $213M | 100% | — |
- Clients
- 105
- Regulatory AUM
- $38.9M
- AUM share
- 18.3%
- Avg. per client
- $371K
- Clients
- 43
- Regulatory AUM
- $93M
- AUM share
- 43.8%
- Avg. per client
- $2.16M
- Clients
- 13
- Regulatory AUM
- $59.9M
- AUM share
- 28.2%
- Avg. per client
- $4.61M
- Clients
- Fewer than 5
- Regulatory AUM
- $10M
- AUM share
- 4.7%
- Avg. per client
- —
- Clients
- 6
- Regulatory AUM
- $10.7M
- AUM share
- 5.0%
- Avg. per client
- $1.78M
Total
- Clients
- 167
- Regulatory AUM
- $213M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
Up Capital Management charges 0.50%–2.00% for its Up Management Program. The brochure does not state whether the rate is annual. The fee is billed in advance, is negotiable and requires an account of at least $100,000. The brochure also prices 4 other services, listed under fee details.
Fee details and sources
Other fees
- Estate planning coordination
- Estate planning coordination is billed at $250 per hour, or as fixed fees ranging from $500 to $2,500.
- Financial planning and consulting
- Financial plans and consultations are billed hourly at $250 to $400 per hour, or as fixed fees that generally do not exceed $20,000.
- Retirement plan advisement consultations
- Advisement consultations for retirement plan participants are fixed fees generally not exceeding $7,500 a year, or percentage fees generally not exceeding 1.50% a year.
- Retirement plan services
- Retirement plan services are fixed fees generally ranging from $500 to $75,000 a year, or percentage fees of 0.05% to 1.00% annually, all negotiable.
Anton Bayer owns 75% or more of Up Capital Management. Nyle Bayer is CEO. It has 4 employees, 2 of them in advisory roles.
Staff
- 4 employees
- 2 in advisory functions
- 2 state-registered reps
- Owns 75% or more of Up Capital Management, Inc.
Anton Bayer
Control person · since June 2012
Up Capital Management’s regulatory assets grew from $195M (February 2021) to $213M (May 2026); clients fell from 183 to 167 and employees rose from 3 to 4.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| May 2026May 2026 | $213M | 167 | 4 | 2 |
| Feb 2025February 2025 | $187M | 208 | 4 | 2 |
| Jun 2024June 2024 | $177M | 167 | 3 | 2 |
| May 2023May 2023 | $189M | 211 | 4 | 3 |
| Feb 2022February 2022 | $228M | 209 | 3 | 3 |
| Feb 2021February 2021 | $195M | 183 | 3 | 1 |
Besides its headquarters, Up Capital Management has 1 office, with 2 listed addresses in 1 state.
California · 1 listed address
- 341 Lincoln St., Roseville
Choose a state to see its listed addresses.
Contact and registration details
- Legal name
- Up Capital Management, Inc.
- Headquarters
- Not reported
- Website
- upcapitalmgmt.com
- Phone
- 916-520-6420
- @3233781
- SEC file
- 801-79503
- Structure
- Texas corporation
- Fiscal year end
- December
Up Capital Management’s named custodian for separately managed accounts is Charles Schwab ($161M). Up Capital Management does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $161M100%
At year end, Up Capital Management’s separately managed accounts were mostly in funds (55%) and stocks (44%).
What the accounts hold
- Stocks44%
- Funds55%
- Cash1%
How many clients does Up Capital Management have?
Up Capital Management has 167 clients and manages $213 million for them, as of May 2026. They include 105 individual clients, 43 high-net-worth individuals, and 13 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 8 May 2026
What services does Up Capital Management offer?
Up Capital Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, and publishing newsletters.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Up Capital Management charge?
Up Capital Management charges 0.50%–2.00% for its Up Management Program. The brochure does not state whether the rate is annual. The fee is billed in advance, is negotiable and requires an account of at least $100,000.
Source: FORM ADV PART 2A DISCLOSURE BROCHURE, filed 8 May 2026
Which custodians does Up Capital Management use?
Up Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $161M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 8 May 2026
How many financial advisors does Up Capital Management have?
Up Capital Management has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Up Capital Management invest in?
At the end of its last fiscal year, Up Capital Management’s separately managed accounts held 55% registered funds (mutual funds, ETFs, BDCs), 44% exchange-traded equities and 1% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Up Capital Management have a minimum investment?
Yes, Up Capital Management’s minimum account size for its Up Management Program is $100K.
Source: FORM ADV PART 2A DISCLOSURE BROCHURE, filed 8 May 2026
Who owns Up Capital Management?
Up Capital Management’s direct owner is Anton Bayer (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 8 May 2026
How does Up Capital Management get paid?
Up Capital Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Up Capital Management?
Its phone number is 916-520-6420. Its website is upcapitalmgmt.com.
