Ethos Capital Management, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$155,381,974
Clients
181
53% high-net worth
Advisors
4
of 4 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
45
TypicalAverage account size
$858,464
About
Ethos Capital Management, Inc. is an SEC-registered investment adviser that provides portfolio management, financial planning, and related consulting to individuals, high-net-worth clients, trusts, estates, and business entities. The firm also recommends and monitors third-party sub-advisers and offers insurance products through an affiliated insurance agency.
The firm documents client objectives in individualized Investment Policy Statements and implements strategies using fundamental, technical, and cyclical analysis, operating with either discretionary or non-discretionary authority depending on client preference. It relies on model portfolios and a sub-advisory arrangement with a national asset manager for some client accounts, and delivers written financial plans and ongoing portfolio reviews as part of its service model.
Compared with many peers, Ethos discloses a regulatory enforcement matter resolved with the state regulator that arose from a clerical drafting discrepancy and was settled without client harm, and it maintains a written disclosure about that incident in the brochure. The firm also indicates it conducts educational seminars or workshops as part of its client outreach, and it maintains affiliated insurance activities and standing letters of authorization for certain client disbursements—features the brochure highlights as potential sources of conflicts that the firm documents and discloses.
Client services
Financial planning
Portfolio management
Selection of other advisers
Educational seminars or workshops
Expertise
Options & derivatives strategies
Tax-loss harvesting
Retirement income strategy
Wealth management
Fee options
$0 - $1,000,000: 1.25% $1,000,001 - $2,000,000: 1.15% $2,000,001 - $3,000,000: 1.05% $3,000,001 - $5,000,000: 0.95% $5,000,001+: 0.75%
$350 per hour for financial planning services
Account minimum: $750,000 Fee-only: Financial planning: $350 per hour, minimum $1,650
Main office location
Ethos Capital Management, Inc.
626 South State Street
Newtown PA 18940, United States
Number of offices
3
Most active in
Ethos Capital Management, Inc. has reported serving >5 clients in these states in the last 12 months.
Florida · New Jersey · Pennsylvania
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
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.
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