{"url":"https://nivawealth.com/firms/processus-wealth-and-capital-management-155306","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/155306","regulatoryAum":249546024,"crd":"155306","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2490684","suffix":null,"lastName":"JORDAN","firstName":"JEFFREY","middleName":"CHAD"},{"crd":"1908925","suffix":null,"lastName":"TABOR","firstName":"GRADY","middleName":"COLIN"}],"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":"2021-02-23","regulatoryAum":143321321,"clients":51,"employees":2,"offices":2},{"filedOn":"2022-02-15","regulatoryAum":164101445,"clients":53,"employees":2,"offices":2},{"filedOn":"2023-02-10","regulatoryAum":135036809,"clients":50,"employees":2,"offices":2},{"filedOn":"2024-02-12","regulatoryAum":165458864,"clients":50,"employees":2,"offices":2},{"filedOn":"2025-01-17","regulatoryAum":214622276,"clients":53,"employees":2,"offices":2},{"filedOn":"2026-01-26","regulatoryAum":249546024,"clients":57,"employees":2,"offices":2}],"secFileNumber":"801-119425","legalName":"Processus Wealth & Capital Management, LLC","displayName":"Processus Wealth & Capital Management","slug":"processus-wealth-and-capital-management-155306","website":"https://processuswealth.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/155306/99507643742a23ea-r1.webp","tone":"light","width":591,"height":200,"sourceUrl":"https://www.processuswealth.com/","sourceLabel":"Processus Wealth & Capital Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2010","organization":"Tennessee limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"10 September 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account.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004084","versionId":1004084,"submittedOn":"2026-01-26","documentName":"PROCESSUS WEALTH & CAPITAL MANAGEMENT ADV PART 2A DISCLOSURE BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:13:10.163923+00:00","documents":[{"name":"PROCESSUS WEALTH & CAPITAL MANAGEMENT ADV PART 2A DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004084","versionId":1004084,"submittedOn":"2026-01-26"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":245514140}],"custodyNote":"Processus Wealth & Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jeffrey Jordan","title":"Managing Member / Chief Compliance 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clients"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":50},{"label":"Securities issued by registered investment companies or business development companies","percent":49},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"26 January 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/155306/PDF/155306.pdf","brochureDate":"26 January 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1004084","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 Processus Wealth & Capital Management have?","answer":"Processus Wealth & Capital Management has 57 clients and manages $250 million for them, as of January 2026. They include 37 high-net-worth individuals and 20 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 January 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Processus Wealth & Capital Management offer?","answer":"Processus Wealth & Capital Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and estate planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Processus Wealth & Capital Management charge?","answer":"Processus Wealth & Capital Management charges 0.60%–1.50% a year for its Investment Management Fee. Each asset band is charged at its own rate. The fee is billed in arrears and is negotiable.","source":"PROCESSUS WEALTH & CAPITAL MANAGEMENT ADV PART 2A DISCLOSURE BROCHURE, filed 26 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Processus Wealth & Capital Management use?","answer":"Processus Wealth & Capital Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $246M. 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 January 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Processus Wealth & Capital Management have?","answer":"Processus Wealth & Capital Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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 Processus Wealth & Capital Management invest in?","answer":"At the end of its last fiscal year, Processus Wealth & Capital Management’s separately managed accounts held 50% exchange-traded equities, 49% 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 Processus Wealth & Capital Management?","answer":"Processus Wealth & Capital Management’s direct owners are Jeffrey Jordan (50% to 75%) and Grady Tabor (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 26 January 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Processus Wealth & Capital Management get paid?","answer":"Processus Wealth & Capital Management is paid through a percentage of assets under management. 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":"How do I contact Processus Wealth & Capital Management?","answer":"Its phone number is 615-656-3745. Its website is processuswealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 January 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."}