# Worthington Capital Management, LLC

> Worthington Capital Management, LLC is an SEC-registered investment advisory firm in Memphis, TN, registered since 2020, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 27, 2026.

- CRD: 305391
- Filed as: WORTHINGTON CAPITAL MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Memphis, TN
- Filing period: October 2026
- Form ADV filing dated: March 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/305391
- AdvisorCensus page: https://advisorcensus.com/firm/worthington-capital-management-llc-memphis-tn-305391

## Quick answers

**How is Worthington Capital Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Worthington Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees.

**How much does Worthington Capital Management, LLC charge?**
Its Form ADV Part 2A brochure dated March 27, 2026 states: Asset-based fee: up to 1.25% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Worthington Capital Management, LLC located?**
Worthington Capital Management, LLC's principal office is in Memphis, TN, according to its Form ADV.

**Is Worthington Capital Management, LLC registered with the SEC or a state?**
Worthington Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 305391.

**How much does Worthington Capital Management, LLC manage?**
Worthington Capital Management, LLC reports $41,201,880 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary).

**How have Worthington Capital Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Worthington Capital Management, LLC: Regulatory assets under management: $17,937,987 in the October 2021 data and $41,201,880 in the October 2026 data, up 130%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Worthington Capital Management, LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (2).

**Does Worthington 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/305391

**Does Worthington Capital Management, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 27, 2026 says: "Although the Funds’ Boards of Directors have the authority to accept subscriptions of a lesser amount, the required minimum initial investment in the Funds is generally US $250,000."

**What changed in Worthington Capital Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $32,729,886 to $41,201,880 (+26%). Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

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

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

- Asset-based fee: up to 1.25% of assets a year (the maximum the brochure states)

> Paid monthly, the management fee is generally up to 1.25% of the value of the net assets of each Investor’s capital account.

- Account minimum: $250,000

> Although the Funds’ Boards of Directors have the authority to accept subscriptions of a lesser amount, the required minimum initial investment in the Funds is generally US $250,000.

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

### Regulatory assets under management (Item 5.F)
- Total: $41,201,880
- Discretionary: $41,201,880
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 2 | $41,201,880 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2020 (6 years)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: TN
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- LinkedIn @worthington-convergence-fund

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $17,937,987 | 3 | April 30, 2021 |
| October 2022 | $34,305,645 | 3 | March 30, 2022 |
| October 2023 | $29,025,381 | 3 | March 29, 2023 |
| October 2024 | $30,655,809 | 3 | August 1, 2024 |
| October 2025 | $32,729,886 | 3 | June 6, 2025 |
| October 2026 | $41,201,880 | 3 | March 27, 2026 |

Regulatory assets under management: $17,937,987 in the October 2021 data and $41,201,880 in the October 2026 data, up 130%.
Total employees: 3 in October 2021 and 3 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $32,729,886 to $41,201,880 (+26%).
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Worthington Capital Management, LLC (CRD 305391): Form ADV filing data as of October 2026.