Upspring Capital LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$83,845,695
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
27
93% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
27
Average account size
$3,105,396
About
Upspring Capital provides investment management and financial planning to individuals (including high‑net‑worth clients), trusts, estates, businesses, and retirement plans, and it also serves pooled investment vehicle clients. The firm acts as investment manager to a private feeder fund (UpSpring Goldcrest Fund III Feeder, LP), which acquires an interest in Goldcrest Capital III‑A, LP via a Regulation D private placement.
The firm’s investment process blends fundamental analysis, Modern Portfolio Theory, technical and cyclical analysis and may use mutual funds, ETFs, individual securities, alternative investments and third‑party money managers where appropriate. Upspring Capital delivers discretionary and non‑discretionary portfolio management, conducts at‑least‑annual reviews and rebalancing, and provides retirement plan consulting and ERISA 3(21) fiduciary support including investment committee assistance, monitoring and participant education.
What distinguishes the firm from many peers is its combination of private fund advisory activity and pooled vehicle management alongside traditional individual and retirement plan services, and its disclosed affiliation with the feeder fund’s general partner. The adviser manages about $84 million across a limited client base and documents its role and conflicts related to managing and structuring the pooled vehicle in its disclosures.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Private / alternative investments
Retirement plans for business owners (SEP, solo 401k)
Business exit / sale strategy
General estate planning guidance
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%
Our IARs may receive commissions for sales of insurance products and securities in addition to advisory fees.
Account minimum: No minimum account balance to open an advisory account; however, for new investors in the UpSpring Goldcrest Fund III Feeder, LP, the minimum capital contribution is $200,000 which may be waived by Upspring Capital.
Main office location
Upspring Capital LLC
4141 Office Parkway
Dallas TX 75204, United States
Number of offices
1
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:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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.
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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.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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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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