Up Capital Management, Inc.
- Regulatory AUM
- $213M
- Discretionary
- $161M
- Clients
- 167
- Avg AUM / client
- $1.3M
- Accounts
- 420
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of May 08, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 105 | $38.9M | 18.3% |
| High net worth individuals | 43 | $93.0M | 43.8% |
| Pension and profit sharing plans | 13 | $59.9M | 28.2% |
| Charitable organizations | Fewer than 5 clients | $10.0M | 4.71% |
| Corporations and other businesses | 6 | $10.7M | 5.02% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Haws Retirement Plan Haws Corporation | 2024 |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Anton James Bayer | Chief Compliance Officer, Chief Executive Officer And Chief Financial Officer | CFP | Jun 2012 (14y) | 75% or more |
| Nyle Bronson Bayer | Registered representative | Oct 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Haws Retirement Plan | Haws Corporation | 159 | $26.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/08/2026 | 971 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Publication of periodicals or newsletters
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $161M (76% of AUM) May 2026
- Adp Retirement Trust Services, Llc $32.9M (18% of AUM) Feb 2025
- Empower Retirement $27.9M (16% of AUM) Jun 2024
- Great West Trust Company, Llc $24.7M (14% of AUM) Jul 2020
- Adp Broker Dealer, Inc. $24.5M (13% of AUM) May 2023
- Voya Financial $14.1M (8% of AUM) Feb 2025
- LPL Financial $3.6M (2% of AUM) Feb 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 08, 2026.
View current Form ADV (SEC/IAPD) ↗