{
  "crd_number": 313145,
  "slug": "ethos-capital-management-inc-newtown-pa-313145",
  "primary_business_name": "ETHOS CAPITAL MANAGEMENT, INC.",
  "legal_name": "ETHOS CAPITAL MANAGEMENT, INC.",
  "dbas": [],
  "city": "Newtown",
  "state": "PA",
  "country": "United States",
  "cbsa_code": "37980",
  "metro": {
    "cbsa_code": "37980",
    "common_name": "Philadelphia",
    "msa_name": "Philadelphia-Camden-Wilmington, PA-NJ-DE-MD",
    "path": "/advisors/pa/philadelphia"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2025-03-26",
  "years_registered": 1,
  "period": "2026-10-01",
  "filing_date": "2026-04-16",
  "carried_forward": false,
  "raum_total": 155381974.0,
  "raum_discretionary": 155381974.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 4,
  "advisory_employees": 4,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 36639274.0,
      "count": 85
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 118742700.0,
      "count": 96
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [
    "FL",
    "NJ",
    "PA",
    "SC",
    "TX"
  ],
  "websites": [
    "https://ethoscapitalmgt.com",
    "https://facebook.com/ethoscapital",
    "https://linkedin.com/company/ethos-capital-advisors"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/313145",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    }
  ],
  "city_as_filed": "NEWTOWN",
  "url": "https://advisorcensus.com/firm/ethos-capital-management-inc-newtown-pa-313145",
  "display_name": "Ethos Capital Management, Inc.",
  "summary": "Ethos Capital Management, Inc. is an SEC-registered investment advisory firm in Newtown, PA, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 16, 2026.",
  "citation": "AdvisorCensus. Ethos Capital Management, Inc. (CRD 313145): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Ethos Capital Management, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Ethos Capital Management, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges."
    },
    {
      "q": "Where is Ethos Capital Management, Inc. located?",
      "a": "Ethos Capital Management, Inc.'s principal office is in Newtown, PA, according to its Form ADV; the May 2026 filing also lists 2 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Ethos Capital Management, Inc. registered with the SEC or a state?",
      "a": "Ethos Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 313145."
    },
    {
      "q": "How much does Ethos Capital Management, Inc. manage?",
      "a": "Ethos Capital Management, Inc. reports $155,381,974 in regulatory assets under management in its Form ADV filing dated April 16, 2026 (100% discretionary)."
    },
    {
      "q": "How have Ethos Capital Management, Inc.'s assets and staff changed since 2025?",
      "a": "In the Form ADV data for Ethos Capital Management, Inc.: Regulatory assets under management: $129,143,442 in the October 2025 data and $155,381,974 in the October 2026 data, up 20%. Total employees: 3 in October 2025 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Ethos Capital Management, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (96); individuals (other than high net worth individuals) (85)."
    },
    {
      "q": "Which custodians does Ethos Capital Management, Inc. use?",
      "a": "Ethos Capital Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Ethos Capital Management, Inc. report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/313145"
    },
    {
      "q": "Does Ethos Capital Management, Inc. state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 27, 2026 says: \"ECM requires a minimum of $750,000 to open an account. In certain instances, the minimum account size may be lowered or waived.\""
    },
    {
      "q": "What changed in Ethos Capital Management, Inc.'s recent Form ADV filings?",
      "a": "In the May 2026 filing data: Changed its office addresses in Princeton, NJ. Registered or notice-filed in SC, TX."
    }
  ],
  "filing_history": [
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 129143442.0,
      "total_employees": 3,
      "filing_date": "2025-07-24"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 155381974.0,
      "total_employees": 4,
      "filing_date": "2026-04-16"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Changed its office addresses in Princeton, NJ.",
        "Registered or notice-filed in SC, TX."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $129,143,442 to $155,381,974 (+20%).",
        "Changed its office addresses in Princeton, NJ.",
        "Added an office in Doylestown, PA."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "No longer lists an office in Doylestown, PA.",
        "Registered or notice-filed in FL."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in CO, DE, FL, MA, MD, NC, SC."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Employees performing advisory functions went from 3 to 4."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 27, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$750,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $750,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "ECM requires a minimum of $750,000 to open an account. In certain instances, the minimum account size may be lowered or waived."
        ]
      }
    ],
    "quotes": [
      "ECM requires a minimum of $750,000 to open an account. In certain instances, the minimum account size may be lowered or waived."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/ethos-capital-management-inc-newtown-pa-313145.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 85,
      "fewer_than_5": false,
      "raum": 36639274.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 96,
      "fewer_than_5": false,
      "raum": 118742700.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/313145",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}