{"url":"https://nivawealth.com/firms/alsworth-capital-management-281417","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/281417","regulatoryAum":116684055,"crd":"281417","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4418062","suffix":null,"lastName":"ALSWORTH","firstName":"SHANE","middleName":"MICHAEL"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-22","regulatoryAum":69832914,"clients":136,"employees":5,"offices":1},{"filedOn":"2022-06-06","regulatoryAum":78466163,"clients":156,"employees":6,"offices":1},{"filedOn":"2023-05-23","regulatoryAum":69486897,"clients":154,"employees":6,"offices":1},{"filedOn":"2024-03-19","regulatoryAum":84131507,"clients":171,"employees":6,"offices":2},{"filedOn":"2025-03-14","regulatoryAum":97205007,"clients":181,"employees":6,"offices":2},{"filedOn":"2026-03-30","regulatoryAum":116684055,"clients":177,"employees":8,"offices":2}],"secFileNumber":"801-113550","legalName":"Alsworth Capital Management, LLC","displayName":"Alsworth Capital Management","slug":"alsworth-capital-management-281417","website":"https://alsworthcapital.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/281417/4322163477652b34-r1.webp","tone":"light","width":1190,"height":200,"sourceUrl":"https://www.alsworthcapital.com/node/152622","sourceLabel":"Alsworth Capital Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/alsworth-capital-management-llc/","founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"4 West Market Street","city":"Corning","state":"NY","stateName":"New York","country":"United States","postalCode":"14830"},"tradeNames":[],"registration":{"secApproved":"6 July 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":598744.5581395349,"staff":{"employees":8,"advisory":2,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":116684055,"discretionary":116684055,"discretionaryAccounts":438,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":120,"regulatoryAum":28283036},{"label":"High-net-worth individuals","clients":52,"regulatoryAum":74701028},{"label":"Pension and profit-sharing plans","clients":5,"regulatoryAum":7405298},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":4910032},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":1384661}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"marginal","fee_tiers":[{"to":2000000,"pct":1,"from":0},{"to":null,"pct":0.5,"from":2000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032568","versionId":1032568,"ratePeriod":"annual","fee_billing":null,"submittedOn":"2026-03-30","documentName":"ACM DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND WRAP FEE BROCHURE","fee_rate_low":0.5,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Retirement Plan Advisory Services","summary":"Retirement plan advisory services are charged an annual asset-based fee of 0.50%, negotiable depending on the size and complexity of the plan.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032568","versionId":1032568,"submittedOn":"2026-03-30","documentName":"ACM DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND WRAP FEE BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:17:21.65312+00:00","documents":[{"name":"ACM DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND WRAP FEE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032568","versionId":1032568,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":109540130}],"custodyNote":"Alsworth Capital Management does not have custody of client assets.","leadership":[{"name":"Shane Alsworth","title":"Chief Executive Officer","crd":"4418062"},{"name":"Jacqueline Alsworth","title":"Chief Compliance Officer","crd":"4252773"}],"ownership":[{"label":"Shane Alsworth","detail":"Chief executive officer in the 50% to 75% ownership band and a control person, since September 2015."},{"label":"Jacqueline Alsworth","detail":"Chief compliance officer in the 50% to 75% ownership band and a control person, since May 2023."}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"New York","offices":2,"addresses":[{"street":"4 West Market Street","city":"Corning","headquarters":true},{"street":"70 Linden Oaks","city":"Rochester"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"607-973-2665","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":79},{"label":"Securities issued by registered investment companies or business development companies","percent":20},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/281417/PDF/281417.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1032568","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Alsworth Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Alsworth Capital Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Alsworth Capital Management charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Alsworth Capital Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Alsworth Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Alsworth Capital Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Alsworth Capital Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Alsworth Capital Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Alsworth Capital Management registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Alsworth Capital Management?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}