DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
U• C•••••• M••••••••• I•••
Latest filing May 8, 2026
First filing on the tape Mar 27, 2014 · 25 filings
SEC status approved since Apr 14, 2014
RAUM
$213M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
62%
$132M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$213M as of May 8, 2026
Feb 5, 2015$151M then
HNW client RAUM$93.0M as of May 8, 2026
Mar 7, 2018$128M then
State-registered IARs (5.B.3)2 as of May 8, 2026
Feb 5, 20152 then
Employees (5.A)4 as of May 8, 2026
Feb 5, 20154 then
Private funds: no history
RAUM +14% over the last fiscal year+4.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 8, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $506,106derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -26%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$93.0M44%
- Pension and profit-sharing plans$59.9M28%
- Individuals$38.9M18%
- Corporations and businesses$10.7M5.0%
- Charitable organizations$10.0M4.7%
- Individual clients
- 105reported
- HNW clients
- 43reported
- Pension plan clients
- 13reported
- Charitable clients
- n/areported
- Accounts
- 420reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.62 fund_share=0.0 institutional_share=0.33 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• J•••• B••••Certified Financial Planner | Bulverde, Tx | Oct 2, 2012 | 40 y | 4 |
| N••• B•••••• B•••• | Roseville, Ca | Oct 2, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A•••• J•••• B•••• from L•• F•••••••• L••Oct 2, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• A••••• J•••• · Chief Compliance Officer, Chief Executive Officer And Chief Financial Officercontrolsince 06/2012 · owns 75% or more
Related persons
Schedule D 7.A
- H••••• B••• L••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bulverde, Tx | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Roseville, CA3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 2, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $186,596,697 to $212,564,382, advisors 2 to 2, private clients 200 to 148, offices 1 to 1 (2025-02-25 to 2026-03-02)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 376 to 420Feb 25, 2025 to Mar 2, 2026
- Advisory employees · 1 to 2Feb 25, 2025 to Mar 2, 2026
- Corporate clients · 0 to 6Feb 25, 2025 to Mar 2, 2026
- HNW clients · 36 to 43Feb 25, 2025 to Mar 2, 2026
- Individual clients · 164 to 105Feb 25, 2025 to Mar 2, 2026
- Pension plan clients · 8 to 13Feb 25, 2025 to Mar 2, 2026
- Financial planning clients · 26-50 to 11-25Feb 25, 2025 to Mar 2, 2026
- Discretionary RAUM · $140M to $161MFeb 25, 2025 to Mar 2, 2026
- HNW RAUM · $74.6M to $93.0MFeb 25, 2025 to Mar 2, 2026
- Individual RAUM · $56.1M to $38.9MFeb 25, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $47.0M to $52.0MFeb 25, 2025 to Mar 2, 2026
- Pension RAUM · $47.0M to $59.9MFeb 25, 2025 to Mar 2, 2026
- RAUM · $187M to $213MFeb 25, 2025 to Mar 2, 2026
- Accounts · 320 to 376Jun 17, 2024 to Feb 25, 2025
- Advisory employees · 2 to 1Jun 17, 2024 to Feb 25, 2025
- Corporate clients · unset to 0.0Jun 17, 2024 to Feb 25, 2025
- HNW clients · 53 to 36Jun 17, 2024 to Feb 25, 2025
- Individual clients · 98 to 164Jun 17, 2024 to Feb 25, 2025
- Pension plan clients · 16 to 8Jun 17, 2024 to Feb 25, 2025
- Employees · 3 to 4Jun 17, 2024 to Feb 25, 2025
- Financial planning clients · 0 to 26-50Jun 17, 2024 to Feb 25, 2025
- HQ city · unset to Jun 17, 2024 to Feb 25, 2025
- HQ state · unset to Jun 17, 2024 to Feb 25, 2025
- Discretionary RAUM · $116M to $140MJun 17, 2024 to Feb 25, 2025
- HNW RAUM · $71.3M to $74.6MJun 17, 2024 to Feb 25, 2025
- Individual RAUM · $35.9M to $56.1MJun 17, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $61.2M to $47.0MJun 17, 2024 to Feb 25, 2025
- Pension RAUM · $61.2M to $47.0MJun 17, 2024 to Feb 25, 2025
- RAUM · $177M to $187MJun 17, 2024 to Feb 25, 2025
- Accounts · 329 to 320May 24, 2023 to Mar 20, 2024
- Charity clients · 0.0 to unsetMay 24, 2023 to Mar 20, 2024
- Corporate clients · 0.0 to unsetMay 24, 2023 to Mar 20, 2024
- HNW clients · 149 to 53May 24, 2023 to Mar 20, 2024
- Individual clients · 62 to 98May 24, 2023 to Mar 20, 2024
- Pension plan clients · 0 to 16May 24, 2023 to Mar 20, 2024
- Employees · 4 to 3May 24, 2023 to Mar 20, 2024
- HQ city · ROSEVILLE to unsetMay 24, 2023 to Mar 20, 2024
- HQ state · CA to unsetMay 24, 2023 to Mar 20, 2024
- State-registered IARs · 3 to 2May 24, 2023 to Mar 20, 2024
- Other offices · 2 to 1May 24, 2023 to Mar 20, 2024
Signals
3 dated events
- Bronson Nyle Bayer (President) no longer on Schedule A of U• C•••••• M••••••••• I••• (listed 2019-02-05, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Bronson Nyle Bayer (President) appeared on Schedule A of U• C•••••• M••••••••• I•••Feb 5, 2019 · Control person joined · fact
- U• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 27, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- hello@upcapitalmgmt.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 916-520-6420reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/3233781reportedpublic record, Form ADV, Sep 18, 2026
- Website
- UPCAPITALMGMT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 916-520-6420reportedpublic record, Form ADV, May 8, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026