{"url":"https://nivawealth.com/firms/avos-capital-management-313979","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/313979","regulatoryAum":297797612,"crd":"313979","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7360154","suffix":null,"lastName":"Blanchfield","firstName":"Joshua","middleName":"David"},{"crd":"2169200","suffix":"III","lastName":"JOERS","firstName":"PETER","middleName":"DIERKS"}],"total":2,"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":"2021-06-16","regulatoryAum":0,"clients":0,"employees":3,"offices":2},{"filedOn":"2022-04-07","regulatoryAum":218322387,"clients":23,"employees":3,"offices":2},{"filedOn":"2023-01-19","regulatoryAum":210952009,"clients":27,"employees":3,"offices":2},{"filedOn":"2024-03-25","regulatoryAum":245639822,"clients":40,"employees":3,"offices":3},{"filedOn":"2025-06-06","regulatoryAum":252919873,"clients":50,"employees":3,"offices":3},{"filedOn":"2026-08-26","regulatoryAum":297797612,"clients":51,"employees":7,"offices":3}],"secFileNumber":"801-121167","legalName":"Avos Capital Management, LLC","displayName":"Avos Capital Management","slug":"avos-capital-management-313979","website":"https://avos.co/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/313979/d8ab2db5d31b0578-r1.webp","tone":"light","width":804,"height":200,"sourceUrl":"https://www.avos.co/","sourceLabel":"Avos Capital Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"19 Old Kings Highway South, Suite 200","city":"Darien","state":"CT","stateName":"Connecticut","country":"United States","postalCode":"06820"},"tradeNames":[],"registration":{"secApproved":"7 May 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Fee","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056089","versionId":1056089,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-08-26","documentName":"AVOS CAPITAL MANAGEMENT ADV PART 2A","fee_rate_low":null,"fee_rate_high":0.9,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T11:00:34.88024+00:00","documents":[{"name":"AVOS CAPITAL MANAGEMENT ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056089","versionId":1056089,"submittedOn":"2026-08-26"}]},"custodians":[{"name":"Interactive Brokers LLC","shortName":"Interactive Brokers","location":"Greenwich, CT","smaAssets":119330399},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":155794694}],"custodyNote":"Avos Capital Management has custody of $22.7M in client assets for 1 client.","leadership":[{"name":"Joshua Blanchfield","title":"CEO / CIO / Managing Member","crd":"7360154"},{"name":"Martin Hutter","title":"Member","crd":"7984241"},{"name":"Peter Joers","title":"Managing Member","crd":"2169200"},{"name":"Gregory Padgett","title":"CCO / General Counsel / COO","crd":"8282936"},{"name":"Michael Polansky","title":"Member","crd":"6137523"}],"ownership":[{"label":"Joshua Blanchfield","detail":"Ceo / cio / managing member in the 25% to 50% ownership band and a control person, since January 2021."},{"label":"Peter Joers","detail":"Managing member in the 10% to 25% ownership band and a control person, since January 2021."},{"label":"Michael Polansky","detail":"Member in the 10% to 25% ownership band, since January 2021."},{"label":"Martin Hutter","detail":"Member in the 10% to 25% ownership band, since August 2024."}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":2},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Connecticut","offices":1,"addresses":[{"street":"19 Old Kings Highway South, Suite 200","city":"Darien","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"720-864-4348","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":81},{"label":"Cash and cash equivalents","percent":13}],"privateFunds":1},"sources":{"adv1FilingDate":"26 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/313979/PDF/313979.pdf","brochureDate":"26 August 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056089","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 Avos Capital Management have?","answer":"Avos Capital Management has 51 clients and manages $298 million for them, as of August 2026. They include 44 high-net-worth individuals, 4 individual clients and 2 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Avos Capital Management offer?","answer":"Avos Capital Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, and portfolio management for institutions.","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 Avos Capital Management charge?","answer":"Avos Capital Management charges up to 0.90% a year for its Separate Accounts Advisory Fee. The fee is billed in arrears and is negotiable.","source":"AVOS CAPITAL MANAGEMENT ADV PART 2A, filed 26 August 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Avos Capital Management use?","answer":"Avos Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $156M and Interactive Brokers LLC (Greenwich, CT), with $119M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 26 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Avos Capital Management have?","answer":"Avos Capital Management has 2 investment adviser representatives registered with state securities authorities, out of 7 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","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 Avos Capital Management invest in?","answer":"At the end of its last fiscal year, Avos Capital Management’s separately managed accounts held 81% registered funds (mutual funds, ETFs, BDCs), 13% cash and equivalents and 6% exchange-traded equities. It advises 1 private fund.","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 Avos Capital Management?","answer":"Avos Capital Management’s direct owners are Joshua Blanchfield, Peter Joers, Michael Polansky and Martin Hutter, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 26 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Avos Capital Management get paid?","answer":"Avos Capital Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions 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 Avos Capital Management registered with the SEC?","answer":"Yes, Avos Capital Management has been registered with the SEC as an investment adviser since 7 May 2021. Its CRD number is 313979 and its SEC file number is 801-121167.","source":"Form ADV Part 1A, Item 1, filed 26 August 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Avos Capital Management?","answer":"Avos Capital Management’s main office is at 19 Old Kings Highway South, Suite 200, Darien, CT 06820. Its phone number is 720-864-4348. Its website is avos.co.","source":"Form ADV Part 1A, Item 1.F, filed 26 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/avos-capital-management-313979/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-14","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1948622/000142050626001811/0001420506-26-001811-index.html","totalValue":240727928,"positionCount":22,"top10Share":0.9386132920979572,"top10":[{"issuer":"EA SERIES TRUST","titleOfClass":"AVOS GLO EQU ETF","cusip":"02072Q184","value":79488061,"shares":2951282,"shareType":"SH","priorValue":85199140,"priorShares":3459302},{"issuer":"ISHARES TR","titleOfClass":"0-3 MTH TREASURY","cusip":"46436E718","value":77195197,"shares":766814,"shareType":"SH","priorValue":76895475,"priorShares":763913},{"issuer":"PIMCO ETF TR","titleOfClass":"15+ YR US 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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."}