Overview
Assets Under Management: $213 million
High-Net-Worth Clients: 43
Average Client Assets: $2.2 million
Frequently Asked Questions
UP CAPITAL MANAGEMENT, INC. is a fee-based investment advisor. Detailed fee schedules are available in their SEC Form ADV filing.
Yes. As an SEC-registered investment advisor (CRD #164692), UP CAPITAL MANAGEMENT, INC. is subject to fiduciary duty under federal law.
UP CAPITAL MANAGEMENT, INC. serves 43 high-net-worth clients according to their SEC filing dated March 02, 2026. View client details ↓
According to their SEC Form ADV, UP CAPITAL MANAGEMENT, INC. offers financial planning, portfolio management for individuals, and pension consulting services. View all service details ↓
UP CAPITAL MANAGEMENT, INC. manages $213 million in client assets according to their SEC filing dated March 02, 2026.
According to their SEC Form ADV, UP CAPITAL MANAGEMENT, INC. serves high-net-worth individuals and pension and profit-sharing plans. View client details ↓
Services Offered
Services: Financial Planning, Portfolio Management for Individuals, Pension Consulting
Clients
Number of High-Net-Worth Clients: 43
Percentage of Firm Assets Belonging to High-Net-Worth Clients: 43.77%
Average Client Assets: $2.2 million
Total Client Accounts: 420
Discretionary Accounts: 411
Non-Discretionary Accounts: 9
Regulatory Filings
CRD Number: 164692
Filing ID: 2042541
Last Filing Date: 2026-03-02 11:44:17