{
  "crd_number": 226535,
  "slug": "william-joseph-capital-management-inc-bristol-ct-226535",
  "primary_business_name": "WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.",
  "legal_name": "WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.",
  "dbas": [
    "WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS"
  ],
  "city": "Bristol",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "47930",
  "metro": {
    "cbsa_code": "47930",
    "common_name": "Waterbury",
    "msa_name": "Waterbury-Shelton, CT",
    "path": "/advisors/ct/waterbury"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2020-12-11",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 694256348.0,
  "raum_discretionary": 694256348.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 27,
  "advisory_employees": 27,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 407114787.0,
      "count": 1712
    },
    "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": 287141561.0,
      "count": 167
    },
    "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": [
    "fixed",
    "hourly",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 3,
  "states_registered": [
    "AR",
    "CT",
    "FL",
    "GA",
    "IL",
    "IN",
    "MA",
    "ME",
    "MI",
    "NC",
    "NH",
    "NJ",
    "NY",
    "PA",
    "RI",
    "SC",
    "TX",
    "VA",
    "WI"
  ],
  "websites": [
    "https://admiraltypcg.com",
    "https://facebook.com/WJCMLLC",
    "https://linkedin.com/COMPANY/WILLIAM-JOSEPH-CAPITAL-MANAGEMENT-LLC",
    "https://twitter.com/WJCMLLC",
    "https://waypointwealthplanning.com",
    "https://williamjosephcapital.com",
    "https://wjcmllc.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/226535",
  "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?"
    },
    {
      "item": "11.D(3)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    },
    {
      "item": "11.E(3)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    }
  ],
  "city_as_filed": "BRISTOL",
  "url": "https://advisorcensus.com/firm/william-joseph-capital-management-inc-bristol-ct-226535",
  "display_name": "William Joseph Capital Management, Inc.",
  "summary": "William Joseph Capital Management, Inc. is an SEC-registered investment advisory firm in Bristol, CT, registered since 2020, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. William Joseph Capital Management, Inc. (CRD 226535): 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",
    "Fixed fees (other than subscription fees)",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is William Joseph Capital Management, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), William Joseph Capital Management, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other."
    },
    {
      "q": "Where is William Joseph Capital Management, Inc. located?",
      "a": "William Joseph Capital Management, Inc.'s principal office is in Bristol, CT, according to its Form ADV; the April 2026 filing also lists 12 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is William Joseph Capital Management, Inc. registered with the SEC or a state?",
      "a": "William Joseph Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 226535."
    },
    {
      "q": "How much does William Joseph Capital Management, Inc. manage?",
      "a": "William Joseph Capital Management, Inc. reports $694,256,348 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)."
    },
    {
      "q": "How have William Joseph Capital Management, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for William Joseph Capital Management, Inc.: Regulatory assets under management: $114,188,130 in the October 2021 data and $694,256,348 in the October 2026 data, up 508%. Total employees: 15 in October 2021 and 27 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does William Joseph Capital Management, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,712); high net worth individuals (167)."
    },
    {
      "q": "Which custodians does William Joseph Capital Management, Inc. use?",
      "a": "William Joseph Capital Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Assetmark Trust Company and Charles Schwab & Co., Inc. as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does William Joseph Capital Management, Inc. report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), and 11.E(3) (self-regulatory organization's finding of causing a business's authorization to be denied, suspended, revoked, or restricted). 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/226535"
    },
    {
      "q": "What changed in William Joseph Capital Management, Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 26 to 27. Regulatory assets under management went from $465,072,406 to $694,256,348 (+49%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 114188130.0,
      "total_employees": 15,
      "filing_date": "2021-08-25"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 174390063.0,
      "total_employees": 15,
      "filing_date": "2022-03-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 201251887.0,
      "total_employees": 16,
      "filing_date": "2023-04-24"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 270208397.0,
      "total_employees": 19,
      "filing_date": "2024-09-24"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 465072406.0,
      "total_employees": 26,
      "filing_date": "2025-07-14"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 694256348.0,
      "total_employees": 27,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 26 to 27.",
        "Regulatory assets under management went from $465,072,406 to $694,256,348 (+49%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Registered or notice-filed in AR."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Assetmark Trust Company",
      "name_as_filed": "ASSETMARK TRUST COMPANY",
      "affiliated": false
    },
    {
      "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/william-joseph-capital-management-inc-bristol-ct-226535.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 1712,
      "fewer_than_5": false,
      "raum": 407114787.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 167,
      "fewer_than_5": false,
      "raum": 287141561.0
    },
    {
      "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 3 disclosure items 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/226535",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}