SourcingSourcing

UP CAPITAL MANAGEMENT, INC.

A73
CRD 164692·SEC 801-79503
AUM
$212.6M
$100M-$500M
Est. Revenue
$2.1M
@ 1% on AUM
Est. EBITDA
$638K
@ 30% margin
Est. Deal Value
$5.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
UP CAPITAL MANAGEMENT, INC.
CRD
164692
SEC file #
801-79503
EIN
455618373
DBA names
—

Economics

AUM
$212.6M
AUM band
$100M-$500M
AUM trajectory
'20'26
$153.6M → $212.6M▲ +38%
Client mix
Individuals Other105
Individuals High Net Worth43
Pension Profit Sharing Plans13
Corporations6

Operations

Employees (total)
4
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
2 advisors → 2 advisors▬ 0%
Primary office
—
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingPublication of periodicals
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/02/2026
ADV-W filed at
—
Website
instagram.com/upcapitalmgmt/?hl=en(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BAYER, ANTON, JAMES
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
BAYER, ANTON, JAMES
BAYER, NYLE, BRONSON
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:instagram.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
3
Form 5500 Total Compensation
74,798
Form 5500 Compensation Trajectory 3y
202574,798
Form 5500 Plan Count Trajectory 3y
20253
Schedule C Total Compensation
74,798
Schedule C Service Provider Rows
3

SEC EDGAR

Edgar Cik
0002117787
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2026-03-23
Edgar Last Filing Date
2026-04-21
Edgar 13f Count
2
Edgar 13f Latest AUM Estimate
Filing Date2026-04-21
Accession0001214659-26-004853

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
341 LINCOLN ST.ROSEVILLE, CA 95678
Business
341 LINCOLN ST.ROSEVILLE, CA 95678
Edgar EIN
455618373
Edgar Recent Filings
13F-HR2026-04-21 · 0001214659-26-004853
13F-HR2026-03-23 · 0001214659-26-003633
Firm Has Custody
No
Top Owner CRD
1043657
Trust Company Affiliate
No

People (2)

2
BAYER, ANTON, JAMES
IAR · Direct Owner · 87.5%
1043657
BAYER, NYLE, BRONSON
IAR · Executive Officer · 2.5%
5790764