{"url":"https://nivawealth.com/firms/up-capital-management-164692","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/164692","regulatoryAum":212564382,"crd":"164692","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1043657","suffix":null,"lastName":"BAYER","firstName":"ANTON","middleName":"JAMES"},{"crd":"5790764","suffix":null,"lastName":"BAYER","firstName":"NYLE","middleName":"BRONSON"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-02-01","regulatoryAum":194926931,"clients":183,"employees":3,"offices":1},{"filedOn":"2022-02-18","regulatoryAum":228048851,"clients":209,"employees":3,"offices":3},{"filedOn":"2023-05-24","regulatoryAum":188986315,"clients":211,"employees":4,"offices":3},{"filedOn":"2024-06-17","regulatoryAum":177335051,"clients":167,"employees":3,"offices":2},{"filedOn":"2025-02-25","regulatoryAum":186596697,"clients":208,"employees":4,"offices":2},{"filedOn":"2026-05-08","regulatoryAum":212564382,"clients":167,"employees":4,"offices":2}],"secFileNumber":"801-79503","legalName":"Up Capital Management, Inc.","displayName":"Up Capital Management","slug":"up-capital-management-164692","website":"https://upcapitalmgmt.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/164692/8e2876cd755655dd-r1.webp","tone":"light","width":364,"height":200,"sourceUrl":"https://www.upcapitalmgmt.com/","sourceLabel":"UP Capital Management, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/3233781/","founded":null,"organization":"Texas corporation","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"14 April 2014","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":891715.5135135135,"staff":{"employees":4,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":212564382,"discretionary":160526988,"discretionaryAccounts":411,"nonDiscretionary":52037394,"nonDiscretionaryAccounts":9,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":105,"regulatoryAum":38933955},{"label":"High-net-worth individuals","clients":43,"regulatoryAum":93039941},{"label":"Pension and profit-sharing plans","clients":13,"regulatoryAum":59914804},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":10007025},{"label":"Corporations and other businesses","clients":6,"regulatoryAum":10668657}],"feePrograms":[{"role":"main","program":"Up Management Program","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044526","versionId":1044526,"ratePeriod":"not_stated","fee_billing":"advance","submittedOn":"2026-05-08","documentName":"FORM ADV PART 2A DISCLOSURE BROCHURE","fee_rate_low":0.5,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":100000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Estate planning coordination","summary":"Estate planning coordination is billed at $250 per hour, or as fixed fees ranging from $500 to $2,500.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044526","versionId":1044526,"submittedOn":"2026-05-08","documentName":"FORM ADV PART 2A DISCLOSURE BROCHURE"},{"role":"other","program":"Financial planning and consulting","summary":"Financial plans and consultations are billed hourly at $250 to $400 per hour, or as fixed fees that generally do not exceed $20,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044526","versionId":1044526,"submittedOn":"2026-05-08","documentName":"FORM ADV PART 2A DISCLOSURE BROCHURE"},{"role":"other","program":"Retirement plan advisement consultations","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044526","versionId":1044526,"submittedOn":"2026-05-08","documentName":"FORM ADV PART 2A DISCLOSURE BROCHURE"},{"role":"other","program":"Retirement plan services","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044526","versionId":1044526,"submittedOn":"2026-05-08","documentName":"FORM ADV PART 2A DISCLOSURE BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:33:36.302013+00:00","documents":[{"name":"FORM ADV PART 2A DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044526","versionId":1044526,"submittedOn":"2026-05-08"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":160526988}],"custodyNote":"Up Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Nyle Bayer","title":"Chief Executive Officer","crd":"5790764"},{"name":"Anton Bayer","title":"Chairman, CCO, CFO, and CIO","crd":"1043657"}],"ownership":[{"label":"Anton Bayer","detail":"Chairman, cco, cfo, and cio in the 75% or more ownership band and a control person, since June 2012."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"341 Lincoln St.","city":"Roseville"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"916-520-6420","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Publication of periodicals or newsletters","Other"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":44},{"label":"Securities issued by registered investment companies or business development companies","percent":55},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"8 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/164692/PDF/164692.pdf","brochureDate":"8 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044526","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Up Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Up Capital Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Up Capital Management charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Up Capital Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Up Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Up Capital Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Up Capital Management have a minimum investment?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Up Capital Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Up Capital Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Up Capital Management?","answer":"Its phone number is 916-520-6420. Its website is upcapitalmgmt.com.","source":"Form ADV Part 1A, Item 1.F, filed 8 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}