# Processus Wealth & Capital Management, LLC

> Processus Wealth & Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 26, 2026.

- CRD: 155306
- Filed as: PROCESSUS WEALTH & CAPITAL MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: January 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/155306
- AdvisorCensus page: https://advisorcensus.com/firm/processus-wealth-and-capital-management-llc-155306

## Quick answers

**How is Processus Wealth & Capital Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Processus Wealth & Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management.

**How much does Processus Wealth & Capital Management, LLC charge?**
Its Form ADV Part 2A brochure dated January 26, 2026 states: Up to $1,000,000: 1.5% a year; $1,000,000 to $3,000,000: 1.25% a year; $3,000,000 to $5,000,000: 1% a year; Above $5,000,000: 0.6% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Is Processus Wealth & Capital Management, LLC registered with the SEC or a state?**
Processus Wealth & Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 155306.

**How much does Processus Wealth & Capital Management, LLC manage?**
Processus Wealth & Capital Management, LLC reports $249,546,024 in regulatory assets under management in its Form ADV filing dated January 26, 2026 (100% discretionary).

**How have Processus Wealth & Capital Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Processus Wealth & Capital Management, LLC: Regulatory assets under management: $143,321,321 in the October 2021 data and $249,546,024 in the October 2026 data, up 74%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Processus Wealth & Capital Management, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (37); individuals (other than high net worth individuals) (20).

**Which custodians does Processus Wealth & Capital Management, LLC use?**
Processus Wealth & Capital Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Processus Wealth & Capital Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/155306

**Does Processus Wealth & Capital Management, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated January 26, 2026 says: "As a condition for starting and maintaining a relationship, PWCM generally imposes a minimum portfolio size of $1,000,000."

**What changed in Processus Wealth & Capital Management, LLC's recent Form ADV filings?**
In the February 2026 filing data: Regulatory assets under management went from $214,622,276 to $249,546,024 (+16%).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated January 26, 2026)

- Up to $1,000,000: 1.5% a year
- $1,000,000 to $3,000,000: 1.25% a year
- $3,000,000 to $5,000,000: 1% a year
- Above $5,000,000: 0.6% a year

> PWCM provides investment management services for an annual fee based upon a percentage of the market value of the assets being managed by PWCM. PWCM’s annual fee is exclusive of, and in addition to brokerage commissions

> Up to $1,000,000 1.50% Next $2,000,000 1.25% Next $2,000,000 1.00% Above $5,000,000 0.60%

- Account minimum: $1,000,000

> As a condition for starting and maintaining a relationship, PWCM generally imposes a minimum portfolio size of $1,000,000.

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

### Custodians (Schedule D, Section 5.K(3))
- Fidelity Brokerage Services LLC

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: $249,546,024
- Discretionary: $249,546,024
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 20 | $15,745,286 |
| High net worth individuals | 37 | $233,800,738 |
| 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
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2020 (6 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, TN
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- processuswealth.com
- Facebook @Processus-Wealth-Capital-Management-LLC-366969680100679

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $143,321,321 | 2 | September 9, 2021 |
| October 2022 | $164,101,445 | 2 | February 15, 2022 |
| October 2023 | $135,036,809 | 2 | February 10, 2023 |
| October 2024 | $165,458,864 | 2 | February 12, 2024 |
| October 2025 | $214,622,276 | 2 | January 17, 2025 |
| October 2026 | $249,546,024 | 2 | January 26, 2026 |

Regulatory assets under management: $143,321,321 in the October 2021 data and $249,546,024 in the October 2026 data, up 74%.
Total employees: 2 in October 2021 and 2 in October 2026.

## Changes in the filing (last 12 months)

### February 2026
- Regulatory assets under management went from $214,622,276 to $249,546,024 (+16%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Processus Wealth & Capital Management, LLC (CRD 155306): Form ADV filing data as of October 2026.