{"url":"https://nivawealth.com/firms/fields-gottscho-capital-management-136069","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/136069","regulatoryAum":333044193,"crd":"136069","history":[{"filedOn":"2021-03-18","regulatoryAum":248985776,"clients":91,"employees":4,"offices":3},{"filedOn":"2022-03-18","regulatoryAum":287371290,"clients":88,"employees":4,"offices":3},{"filedOn":"2023-03-13","regulatoryAum":232296475,"clients":88,"employees":4,"offices":2},{"filedOn":"2024-03-06","regulatoryAum":268736510,"clients":90,"employees":4,"offices":2},{"filedOn":"2025-03-17","regulatoryAum":323745847,"clients":87,"employees":4,"offices":3},{"filedOn":"2026-03-10","regulatoryAum":333044193,"clients":84,"employees":4,"offices":3}],"secFileNumber":"801-64611","legalName":"Fields Gottscho Capital Management LLC","displayName":"Fields Gottscho Capital Management","slug":"fields-gottscho-capital-management-136069","website":"https://fieldsgottscho.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/136069/3bb7c20b12765766-r1.webp","tone":"dark","width":1048,"height":200,"sourceUrl":"https://fieldsgottscho.com/","sourceLabel":"Fields Gottscho Capital Management LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2005","organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1010 Ednam Center, Suite 211","city":"Charlottesville","state":"VA","stateName":"Virginia","country":"United States","postalCode":"22903"},"tradeNames":[],"registration":{"secApproved":"22 August 2005","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":4018636.9367088606,"staff":{"employees":4,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":333044193,"discretionary":333044193,"discretionaryAccounts":184,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":5,"nonAumClients":3},"clientTypes":[{"label":"Individuals (other than HNW)","clients":7,"regulatoryAum":3109255},{"label":"High-net-worth individuals","clients":72,"regulatoryAum":314363063},{"label":"Pension and profit-sharing plans","clients":5,"regulatoryAum":12484138},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":3087737}],"feePrograms":[{"role":"main","program":"Investment Management Services","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016490","versionId":1016490,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-10","documentName":"NORMAN FIELDS, GOTTSCHO CAPITAL MANAGEMENT, LLC","fee_rate_low":null,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":500000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Investment Consulting Services","summary":"For clients without managed accounts, investment consulting is billed at a negotiable $700 per hour, with a one-hour minimum, after the service is rendered.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016490","versionId":1016490,"submittedOn":"2026-03-10","documentName":"NORMAN FIELDS, GOTTSCHO CAPITAL MANAGEMENT, LLC"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:05:29.423978+00:00","documents":[{"name":"NORMAN FIELDS, GOTTSCHO CAPITAL MANAGEMENT, LLC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016490","versionId":1016490,"submittedOn":"2026-03-10"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Omaha, NE","smaAssets":327505241}],"custodyNote":"Fields Gottscho Capital Management does not have custody of client assets.","leadership":[{"name":"Christopher Gottscho","title":"Managing Member, President","crd":"2139307"},{"name":"Veronica Perez","title":"Chief Compliance Officer","crd":"4127993"}],"ownership":[{"label":"Christopher Gottscho","detail":"Managing member, president in the 75% or more ownership band and a control person, since June 2005."}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"New Jersey","offices":1,"addresses":[{"street":"197 Route 18 South","city":"East Brunswick"}]},{"state":"New York","offices":1,"addresses":[{"street":"1120 Avenues of the Americas","city":"New York"}]},{"state":"Virginia","offices":1,"addresses":[{"street":"1010 Ednam Center, Suite 211","city":"Charlottesville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-628-3812","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":97},{"label":"U.S. government/agency bonds","percent":2},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"10 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/136069/PDF/136069.pdf","brochureDate":"10 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1016490","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 Fields Gottscho Capital Management have?","answer":"Fields Gottscho Capital Management has 84 clients and manages $333 million for them, as of March 2026. They include 72 high-net-worth individuals, 7 individual clients, and 5 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Fields Gottscho Capital Management offer?","answer":"Fields Gottscho Capital Management provides portfolio management for individuals and small businesses 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 Fields Gottscho Capital Management charge?","answer":"Fields Gottscho Capital Management charges up to 1.00% a year for its Investment Management Services. The fee is billed in advance, is negotiable and requires an account of at least $500,000.","source":"NORMAN FIELDS, GOTTSCHO CAPITAL MANAGEMENT, LLC, filed 10 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Fields Gottscho Capital Management use?","answer":"Fields Gottscho Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Omaha, NE), with $328M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Fields Gottscho Capital Management have?","answer":"Fields Gottscho Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 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 Fields Gottscho Capital Management invest in?","answer":"At the end of its last fiscal year, Fields Gottscho Capital Management’s separately managed accounts held 97% exchange-traded equities, 2% U.S. government and agency bonds 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":"Does Fields Gottscho Capital Management have a minimum investment?","answer":"Yes, Fields Gottscho Capital Management’s minimum account size for its Investment Management Services is $500K.","source":"NORMAN FIELDS, GOTTSCHO CAPITAL MANAGEMENT, LLC, filed 10 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Fields Gottscho Capital Management?","answer":"Fields Gottscho Capital Management’s direct owner is Christopher Gottscho (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Fields Gottscho Capital Management get paid?","answer":"Fields Gottscho 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 Fields Gottscho Capital Management registered with the SEC?","answer":"Yes, Fields Gottscho Capital Management has been registered with the SEC as an investment adviser since 22 August 2005. Its CRD number is 136069 and its SEC file number is 801-64611.","source":"Form ADV Part 1A, Item 1, filed 10 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Fields Gottscho Capital Management?","answer":"Fields Gottscho Capital Management’s main office is at 1010 Ednam Center, Suite 211, Charlottesville, VA 22903. Its phone number is 800-628-3812. Its website is fieldsgottscho.com.","source":"Form ADV Part 1A, Item 1.F, filed 10 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."}