Alsworth Capital Management provides financial planning, portfolio management for individuals and small businesses, and pension consulting. Financial planning was provided to 26–50 clients last fiscal year.
Alsworth Capital Management reports 177 clients. They include 120 individual clients, 52 high-net-worth individuals, and 5 pension and profit-sharing plans. Of its assets, 100.0% ($117M across 438 accounts) are managed with discretion. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 68% | 24% |
| High-net-worth individuals | 29% | 64% |
| Pension and profit-sharing plans | 3% | 6% |
| Charitable organizations | Fewer than 5 | 4% |
| Corporations and other businesses | Fewer than 5 | 1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 120 | $28.3M | 24.2% | $236K |
| High-net-worth individuals | 52 | $74.7M | 64.0% | $1.44M |
| Pension and profit-sharing plans | 5 | $7.41M | 6.3% | $1.48M |
| Charitable organizations | Fewer than 5 | $4.91M | 4.2% | — |
| Corporations and other businesses | Fewer than 5 | $1.38M | 1.2% | — |
| Total | 177 | $117M | 100% | — |
- Clients
- 120
- Regulatory AUM
- $28.3M
- AUM share
- 24.2%
- Avg. per client
- $236K
- Clients
- 52
- Regulatory AUM
- $74.7M
- AUM share
- 64.0%
- Avg. per client
- $1.44M
- Clients
- 5
- Regulatory AUM
- $7.41M
- AUM share
- 6.3%
- Avg. per client
- $1.48M
- Clients
- Fewer than 5
- Regulatory AUM
- $4.91M
- AUM share
- 4.2%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $1.38M
- AUM share
- 1.2%
- Avg. per client
- —
Total
- Clients
- 177
- Regulatory AUM
- $117M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 26–50
Alsworth Capital Management charges 0.50%–1.00% a year for its Investment Management Services. Each asset band is charged at its own rate. The fee is negotiable. The brochure also prices one other service, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$2M | 1.00% |
| $2M and above | 0.50% |
Fee details and sources
Other fees
- Retirement Plan Advisory Services
- Retirement plan advisory services are charged an annual asset-based fee of 0.50%, negotiable depending on the size and complexity of the plan.
Shane Alsworth owns 50% to 75% of Alsworth Capital Management. Shane Alsworth is CEO; the leadership team includes Chief Compliance Officer Jacqueline Alsworth. It has 8 employees, 2 of them in advisory roles.
Leadership
- Shane AlsworthChief Executive Officer
- Jacqueline AlsworthChief Compliance Officer
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
Staff
- 8 employees
- 2 in advisory functions
- 2 state-registered reps
- 1 insurance agent
- Owns 50% to 75% of Alsworth Capital Management, LLC
Shane Alsworth
Control person · since September 2015
- Owns 50% to 75% of Alsworth Capital Management, LLC
Jacqueline Alsworth
Control person · since May 2023
Alsworth Capital Management’s regulatory assets grew 1.7× from $69.8M (July 2021) to $117M (March 2026); clients rose from 136 to 177 and employees from 5 to 8.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $117M | 177 | 8 | 2 |
| March 2025 | $97.2M | 181 | 6 | 2 |
| March 2024 | $84.1M | 171 | 6 | 2 |
| May 2023 | $69.5M | 154 | 6 | 1 |
| June 2022 | $78.5M | 156 | 6 | 1 |
| July 2021 | $69.8M | 136 | 5 | 1 |
Besides its headquarters, Alsworth Capital Management has 1 office, with 2 listed addresses in New York.
New York · 2 listed addresses
- 4 West Market Street, CorningHQ
- 70 Linden Oaks, Rochester
Contact and registration details
- Legal name
- Alsworth Capital Management, LLC
- Headquarters
- 4 West Market Street, Corning, NY 14830
- Website
- alsworthcapital.com
- Phone
- 607-973-2665
- @alsworth-capital-management-llc
- SEC file
- 801-113550
- Structure
- New York LLC
- Fiscal year end
- December
Alsworth Capital Management uses Charles Schwab ($110M) as custodian for its separately managed accounts. Alsworth Capital Management does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $110M100%
At year end, Alsworth Capital Management’s separately managed accounts were mostly in stocks (79%) and funds (20%).
What the accounts hold
- Stocks79%
- Funds20%
- Cash1%
How many clients does Alsworth Capital Management have?
Alsworth Capital Management has 177 clients and manages $117 million for them, as of March 2026. They include 120 individual clients, 52 high-net-worth individuals, and 5 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does Alsworth Capital Management offer?
Alsworth Capital Management provides financial planning, portfolio management for individuals and small businesses, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Alsworth Capital Management charge?
Alsworth Capital Management charges 0.50%–1.00% a year for its Investment Management Services. Each asset band is charged at its own rate. The fee is negotiable.
Source: ACM DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND WRAP FEE BROCHURE, filed 30 March 2026
Which custodians does Alsworth Capital Management use?
Alsworth Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $110M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026
How many financial advisors does Alsworth Capital Management have?
Alsworth Capital Management has 2 investment adviser representatives registered with state securities authorities, out of 8 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Alsworth Capital Management invest in?
At the end of its last fiscal year, Alsworth Capital Management’s separately managed accounts held 79% exchange-traded equities, 20% registered funds (mutual funds, ETFs, BDCs) and 1% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Alsworth Capital Management?
Alsworth Capital Management’s direct owners are Shane Alsworth (50% to 75%) and Jacqueline Alsworth (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does Alsworth Capital Management get paid?
Alsworth Capital Management is paid through a percentage of assets under management and hourly charges. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Alsworth Capital Management registered with the SEC?
Yes, Alsworth Capital Management has been registered with the SEC as an investment adviser since 6 July 2018. Its CRD number is 281417 and its SEC file number is 801-113550.
Source: Form ADV Part 1A, Item 1, filed 30 March 2026; IAPD firm record
How do I contact Alsworth Capital Management?
Alsworth Capital Management’s main office is at 4 West Market Street, Corning, NY 14830. Its phone number is 607-973-2665. Its website is alsworthcapital.com.