Upspring Capital LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$84,983,891
This total excludes 3 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
27
81% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
27
TypicalAverage account size
$3,147,552
About
Upspring Capital LLC is a small, independent registered investment adviser that provides portfolio management, financial planning, and retirement plan consulting to individuals, high‑net‑worth clients, trusts, estates, small businesses, and qualified retirement plans. The firm manages roughly $99.5 million across about 27 client relationships and also offers access to third‑party money managers and participant education services for plan sponsors.
The firm manages accounts on both discretionary and non‑discretionary bases and uses a blend of fundamental analysis, modern portfolio theory, technical and cyclical analysis to construct and rebalance portfolios. For retirement plans it provides pension consulting and 3(21) fiduciary support, including investment committee assistance, investment monitoring, and ERISA‑related due diligence.
A distinctive aspect of Upspring Capital is its role as an investment manager to pooled vehicles and special purpose feeder funds — for example, the brochure discloses the UpSpring Goldcrest Fund III Feeder, LP and UpSpring Fifth Down Fund IV Feeder, LP that participate in Regulation D private placements. The firm discloses potential carried‑interest and performance‑based compensation associated with those private fund activities and describes mitigation steps such as written policies, investor disclosures, use of qualified custodians, and audited fund financial statements.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Private / alternative investments
Business exit / sale strategy
Retirement plans for business owners (SEP, solo 401k)
General tax planning
Occupation focus
Founder/Business Owner
Executive
Fee options
$0 - $4,999,999.00: 1.0% $5,000,000.00 - $9,999,999.00: 0.75% $10,000,000.00+: 0.50%
IARs may receive commissions from insurance product sales.
Carried interest and performance-based fees for certain private investment vehicles (SPVs and feeder funds), terms detailed in fund offering documents.
Main office location
Upspring Capital LLC
4141 Office Parkway
Dallas TX 75204, United States
Number of offices
1
Most active in
Upspring Capital LLC has reported serving >5 clients in these states in the last 12 months.
Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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