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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

UP CAPITAL MANAGEMENT, INC.

CRD 164692

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c0129355-76bd-08ea-be58-c5936ee45e1c

Data as of May 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 3
On other graphs: 0
Observed: Mar 27, 2014 to May 8, 2026
25 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.62 fund_share=0.0 institutional_share=0.33 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $213MItem 5.F on the latest filing (2026-05-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $161M
Private client RAUM: $132MderivedItem 5.D individuals plus high net worth individuals
Private client share: 62%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $106Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 420
Individual clients: 105
High net worth clients: 43
SEC number: 801-79503
CRD: 164692
Filings on the tape: 25
First filed: Mar 27, 2014
Latest filed: May 8, 2026
Organised: Corporation, TX

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ANTON JAMES BAYER	Certified Financial Planner	BULVERDE, TX	13	40	4	no
NYLE BRONSON BAYER	n/a	ROSEVILLE, CA \| BULVERDE, TX	0	11	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BAYER, ANTON, JAMES	CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL OFFICER	E	yes	06/2012	Mar 27, 2014	Jun 17, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
HARRIS BAY, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Roseville	CA	United States	3	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 2, 2026	$213M	$161M	4	2	1	n/a	n/a
2024	Feb 25, 2025	$187M	$140M	4	1	1	n/a	n/a
2023	Mar 20, 2024	$177M	$116M	3	2	1	n/a	n/a
2022	Jan 19, 2023	$189M	$105M	4	2	3	n/a	n/a
2021	Feb 18, 2022	$228M	$128M	3	2	2	n/a	n/a
2020	Feb 1, 2021	$195M	$109M	3	3	0	n/a	n/a
2019	Mar 26, 2020	$177M	$84.6M	4	3	0	n/a	n/a
2018	Feb 5, 2019	$154M	$67.5M	4	2	0	n/a	n/a
2017	Mar 7, 2018	$150M	$71.3M	4	2	0	n/a	n/a
2016	Apr 4, 2017	$137M	$137M	3	2	n/a	n/a	n/a
2015	Mar 30, 2016	$159M	$83.7M	3	2	n/a	n/a	n/a
2014	Feb 5, 2015	$151M	$75.7M	4	2	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$213M	$187M	13.9%	$189M	4.0%	4	4	1	1

Relationships

Registered with (2)

← NYLE BRONSON BAYERAdvisorregistration: current employment
Oct 2, 2025 to presentfactForm ADV
← ANTON JAMES BAYERAdvisorregistration: current employment
Oct 2, 2012 to presentfactForm ADV

Controls (1)

← BAYER, ANTON, JAMESOwnerCHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL OFFICER, ownership code E, individual
Mar 27, 2014 to Jun 17, 2024factForm ADV

Dated events

Occurred
Mar 26, 2020
Control person left
Bronson Nyle Bayer (President) no longer on Schedule A of Up Capital Management, Inc. (listed 2019-02-05, absent 2020-03-26)
Form ADVobserved 4 days ago
Occurred
Feb 5, 2019
Control person joined
Bronson Nyle Bayer (President) appeared on Schedule A of Up Capital Management, Inc.
Form ADVobserved 4 days ago
Occurred
Mar 27, 2014
First Form ADV filing
Up Capital Management, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c0129355-76bd-08ea-be58-c5936ee45e1c
First observed: Mar 27, 2014
Last observed: May 8, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

UP CAPITAL MANAGEMENT, INC.

CRD 164692

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c0129355-76bd-08ea-be58-c5936ee45e1c

Data as of May 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:05 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ANTON JAMES BAYER

Certified Financial Planner

BULVERDE, TX

NYLE BRONSON BAYER

n/a

ROSEVILLE, CA | BULVERDE, TX

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAYER, ANTON, JAMES

CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL OFFICER

yes

06/2012

Mar 27, 2014

Jun 17, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HARRIS BAY, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Roseville

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 2, 2026

$213M

$161M

n/a

2024

Feb 25, 2025

$187M

$140M

n/a

2023

Mar 20, 2024

$177M

$116M

n/a

2022

Jan 19, 2023

$189M

$105M

n/a

2021

Feb 18, 2022

$228M

$128M

n/a

2020

Feb 1, 2021

$195M

$109M

n/a

2019

Mar 26, 2020

$177M

$84.6M

n/a

2018

Feb 5, 2019

$154M

$67.5M

n/a

2017

Mar 7, 2018

$150M

$71.3M

n/a

2016

Apr 4, 2017

$137M

n/a

2015

Mar 30, 2016

$159M

$83.7M

n/a

2014

Feb 5, 2015

$151M

$75.7M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$213M

$187M

13.9%

$189M

4.0%