Ward Capital Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$26,791,485
Total clients
44
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
44
Average account size
$608,897
About
Ward Capital provides investment advisory and retirement-plan services to a mix of individual investors (including high‑net‑worth clients), trusts and estates, and institutional retirement plans, as well as nonprofits, foundations, corporations, small businesses and churches. Services include discretionary and non‑discretionary asset management, complimentary financial planning for asset management clients, and ERISA Section 3(21) fiduciary consulting for pension and 401(k) plans.
The firm manages client portfolios using a single stock model portfolio—typically eight to eighteen holdings—supplemented by purchases of individual corporate and municipal bonds, and employs both fundamental and technical analysis in portfolio construction and trading. For plan clients it provides quarterly benchmarking reports (engaging Paychex for benchmarking and pricing across multiple vendors), ongoing monitoring of plan menu options, and participant education and enrollment support.
Noteworthy differences from many peers include the combination of retail asset management with institutional pension consulting and formal 3(21) fiduciary services, and the firm’s disclosure that it may receive transaction commissions on some business—both of which are uncommon among independent advisers. The firm directs custody to a single custodian for advisory accounts (and uses common recordkeepers for plan business) and reports roughly $27 million in combined discretionary and non‑discretionary assets under management with additional assets under advisement.
Client services
Expertise
Fee options
$0 - $250,000: 1.50% annually $500,001 - $1,000,000: 1.25% annually $1,000,001 - $5,000,000: 1.00% annually $10,000,001+: Negotiable
1.50% per trade for nondiscretionary asset management fees, based on trade amounts only.
Benchmarking services provided by third-party Paychex at $165 per hour.
Main office location
Ward Capital Management LLC
Escondido CA, United States
Number of offices
1
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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
Quick links
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