# Ethos Capital Management, Inc.

> 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.

- CRD: 313145
- Filed as: ETHOS CAPITAL MANAGEMENT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Newtown, PA
- Filing period: October 2026
- Form ADV filing dated: April 16, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/313145
- AdvisorCensus page: https://advisorcensus.com/firm/ethos-capital-management-inc-newtown-pa-313145

## Quick answers

**How is Ethos Capital Management, Inc. compensated?**
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.

**Where is Ethos Capital Management, Inc. located?**
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).

**Is Ethos Capital Management, Inc. registered with the SEC or a state?**
Ethos Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 313145.

**How much does Ethos Capital Management, Inc. manage?**
Ethos Capital Management, Inc. reports $155,381,974 in regulatory assets under management in its Form ADV filing dated April 16, 2026 (100% discretionary).

**How have Ethos Capital Management, Inc.'s assets and staff changed since 2025?**
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.

**What types of clients does Ethos Capital Management, Inc. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (96); individuals (other than high net worth individuals) (85).

**Which custodians does Ethos Capital Management, Inc. use?**
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.

**Does Ethos Capital Management, Inc. report any disciplinary disclosures?**
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

**Does Ethos Capital Management, Inc. state an account minimum?**
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."

**What changed in Ethos Capital Management, Inc.'s recent Form ADV filings?**
In the May 2026 filing data: Changed its office addresses in Princeton, NJ. Registered or notice-filed in SC, TX.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges

### Fees and minimums (Form ADV Part 2A brochure dated March 27, 2026)

- Account minimum: $750,000 (the brochure says it may be waived or negotiated)

> ECM requires a minimum of $750,000 to open an account. In certain instances, the minimum account size may be lowered or waived.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $155,381,974
- Discretionary: $155,381,974
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 85 | $36,639,274 |
| High net worth individuals | 96 | $118,742,700 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops

### Firm details
- Registered since: 2025 (1 year)
- Employees: 4 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, NJ, PA, SC, TX
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/313145

### Other offices (Schedule D, Section 1.F), as of the May 2026 filing
- Doylestown, PA
- Princeton, NJ

### Websites listed on Form ADV (Item 1.I)
- ethoscapitalmgt.com
- Facebook @ethoscapital
- LinkedIn @ethos-capital-advisors

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $129,143,442 | 3 | July 24, 2025 |
| October 2026 | $155,381,974 | 4 | April 16, 2026 |

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.

## Changes in the filing (last 12 months)

### May 2026
- Changed its office addresses in Princeton, NJ.
- Registered or notice-filed in SC, TX.

### April 2026
- 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.

### February 2026
- No longer lists an office in Doylestown, PA.
- Registered or notice-filed in FL.

### January 2026
- No longer registered or notice-filed in CO, DE, FL, MA, MD, NC, SC.

### December 2025
- Employees performing advisory functions went from 3 to 4.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Ethos Capital Management, Inc. (CRD 313145): Form ADV filing data as of October 2026.