{"url":"https://nivawealth.com/firms/saos-capital-159515","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/159515","regulatoryAum":239116090,"crd":"159515","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4517403","suffix":null,"lastName":"AVANT","firstName":"WILLIAM","middleName":"RANDOLPH"},{"crd":"5295335","suffix":null,"lastName":"GAMBLE","firstName":"SAMUEL","middleName":"WAYNE"},{"crd":"7629288","suffix":null,"lastName":"HOPPER","firstName":"AULDEN","middleName":"MICHAEL"}],"total":3,"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":"2021-03-15","regulatoryAum":128179089,"clients":477,"employees":3,"offices":1},{"filedOn":"2022-05-10","regulatoryAum":172167057,"clients":486,"employees":4,"offices":1},{"filedOn":"2023-03-01","regulatoryAum":161879210,"clients":511,"employees":4,"offices":1},{"filedOn":"2024-02-14","regulatoryAum":169332166,"clients":514,"employees":4,"offices":1},{"filedOn":"2025-02-25","regulatoryAum":207724783,"clients":548,"employees":4,"offices":1},{"filedOn":"2026-05-28","regulatoryAum":239116090,"clients":561,"employees":4,"offices":1}],"secFileNumber":"801-72927","legalName":"Saos Capital, LLC","displayName":"SAOS Capital","slug":"saos-capital-159515","website":"https://saoscapital.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"South Carolina limited liability company","fiscalYearEnd":"December","headquarters":{"street":"410 Mill St, Suite 107","city":"Mount Pleasant","state":"SC","stateName":"South Carolina","country":"United States","postalCode":"29464"},"tradeNames":[],"registration":{"secApproved":"4 January 2012","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":419927.9104477612,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":239116090,"discretionary":225081360,"discretionaryAccounts":1423,"nonDiscretionary":14034730,"nonDiscretionaryAccounts":25,"wrapProgram":225081360,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":456,"regulatoryAum":83005715},{"label":"High-net-worth individuals","clients":80,"regulatoryAum":142075645},{"label":"Pension and profit-sharing plans","clients":25,"regulatoryAum":14034730}],"feePrograms":[{"role":"other","program":"Pension Consulting Services","summary":"Pension consulting is charged annually: 0.50% to 1.00% on assets up to $5,000,000, 0.50% from $5,000,001 to $10,000,000 and 0.35% above $10,000,000; fees are negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010217","versionId":1010217,"submittedOn":"2026-02-19","documentName":"SAOS DISCLOSURE BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:25:50.955688+00:00","documents":[{"name":"SAOS DISCLOSURE BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010217","versionId":1010217,"submittedOn":"2026-02-19"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1046461","versionId":1046461,"submittedOn":null}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":239116090}],"custodyNote":"SAOS Capital does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Aulden Hopper","title":"Chief Compliance Officer","crd":"7629288"},{"name":"William Avant","title":"Managing Member","crd":"4517403"},{"name":"Samuel Gamble","title":"Member","crd":"5295335"}],"ownership":[{"label":"William Avant","detail":"Managing member in the 75% or more ownership band and a control person, since November 2011."},{"label":"Samuel Gamble","detail":"Member in the 25% to 50% ownership band and a control person, since November 2011."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"South Carolina","offices":1,"addresses":[{"street":"410 Mill St, Suite 107","city":"Mount Pleasant","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"843-388-9925","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":14},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":3},{"label":"Derivatives","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":73},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"28 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/159515/PDF/159515.pdf","brochureDate":"19 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1010217","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 SAOS Capital have?","answer":"SAOS Capital has 561 clients and manages $239 million for them, as of May 2026. They include 456 individual clients, 80 high-net-worth individuals, and 25 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does SAOS Capital offer?","answer":"SAOS Capital provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, 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":"Which custodians does SAOS Capital use?","answer":"SAOS Capital’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $239M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does SAOS Capital have?","answer":"SAOS Capital has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 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 SAOS Capital invest in?","answer":"At the end of its last fiscal year, SAOS Capital’s separately managed accounts held 73% registered funds (mutual funds, ETFs, BDCs), 14% exchange-traded equities, 4% cash and equivalents, 3% investment grade corporate bonds, 3% derivatives, 1% non-exchange-traded equities, 1% U.S. government and agency bonds and 1% state and local bonds.","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 SAOS Capital?","answer":"SAOS Capital’s direct owners are William Avant (75% or more) and Samuel Gamble (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 28 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does SAOS Capital get paid?","answer":"SAOS Capital 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 SAOS Capital?","answer":"SAOS Capital’s main office is at 410 Mill St, Suite 107, Mount Pleasant, SC 29464. Its phone number is 843-388-9925. Its website is saoscapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 28 May 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."}