UP CAPITAL MANAGEMENT, INC.
Adviser information for UP CAPITAL MANAGEMENT, INC. last updated from Form ADV on March 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 310 | $116.2M |
| Non-Discretionary | 10 | $61.2M |
| Total | 320 | $177.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 98 | $35.9M |
| HNW Individuals | 53 | $71.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 16 | $61.2M |
| Charitable organizations | <5 | $6.8M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $2.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesPublication of periodicals or newslettersSEMINARS AND WORKSHOPS |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-79503 |
|---|---|
| SEC ERA File Number | 801-79503 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 164692 |
| Legal Entity Identifier | None |
Principal Office
5700 FM 1863BULVERDE
TX
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 916-520-6421, Fax: 916-797-1024
Chief Compliance Officer
ANTON J. BAYER
PRESIDENT
5700 FM 1863
BULVERDE
TX
United States
Tel:
408-406-1683
Fax:
916-797-1024
A****@****************M
(Full email address available in API data)
Industry Affiliates
| HARRIS BAY, LLC | Sponsor or syndicator of limited partnerships |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BAYER, ANTON, JAMES | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL OFFICER | 06/2012 | > 75% |