{"url":"https://nivawealth.com/firms/trademark-capital-management-214512","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/214512","regulatoryAum":150824050,"crd":"214512","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1910483","suffix":null,"lastName":"BEASLEY","firstName":"DONALD","middleName":"LAWRENCE"},{"crd":"6625806","suffix":null,"lastName":"Denham","firstName":"David","middleName":"William"},{"crd":"4639821","suffix":"II","lastName":"EZERNACK","firstName":"JOSEPH","middleName":"GERALD"},{"crd":"7530673","suffix":null,"lastName":"Fernando","firstName":"Joel","middleName":"J"},{"crd":"8230569","suffix":null,"lastName":"Keffer","firstName":"Clayton","middleName":"Matthew"},{"crd":"5799816","suffix":null,"lastName":"MAXEY","firstName":"JOSEPH","middleName":"GLENN"}],"total":6,"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":"2021-03-29","regulatoryAum":187629728,"clients":175,"employees":4,"offices":1},{"filedOn":"2022-06-02","regulatoryAum":184185304,"clients":228,"employees":4,"offices":1},{"filedOn":"2023-05-31","regulatoryAum":202932827,"clients":349,"employees":7,"offices":2},{"filedOn":"2024-03-29","regulatoryAum":209395907,"clients":311,"employees":10,"offices":2},{"filedOn":"2025-06-02","regulatoryAum":220356375,"clients":297,"employees":8,"offices":2},{"filedOn":"2026-09-29","regulatoryAum":150824050,"clients":339,"employees":7,"offices":4}],"secFileNumber":"801-100363","legalName":"Trademark Capital Management Inc.","displayName":"Trademark Capital Management","slug":"trademark-capital-management-214512","website":"https://trademarkcapital.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/trademark-capital","xUrl":"https://Twitter.com/TrademarkAsset","founded":null,"organization":"Georgia corporation","fiscalYearEnd":"December","headquarters":{"street":"1551 Jennings Mill Road, Suite 1200a","city":"Watkinsville","state":"GA","stateName":"Georgia","country":"United States","postalCode":"30677"},"tradeNames":["Trademark Capital Asset Management"],"registration":{"secApproved":"12 June 2015","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":392660.4303030303,"staff":{"employees":7,"advisory":4,"brokerDealerReps":0,"insuranceAgents":1,"promoters":2},"aum":{"regulatory":150824050,"discretionary":150824050,"discretionaryAccounts":521,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":304,"regulatoryAum":63684931},{"label":"High-net-worth individuals","clients":26,"regulatoryAum":65893011},{"label":"Pooled investment vehicles","clients":2,"regulatoryAum":16773146},{"label":"Pension and profit-sharing plans","clients":7,"regulatoryAum":3509089},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":963873}],"feePrograms":[{"role":"main","program":"Portfolio Management Fees","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052816","versionId":1052816,"ratePeriod":"annual","fee_billing":null,"submittedOn":"2026-07-24","documentName":"TRADEMARK CAPITAL MANAGEMENT, INC. BROCHURE","fee_rate_low":null,"fee_rate_high":1.25,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Fees","summary":"Financial planning is billed at an hourly rate of $150 to $250, based on the professional providing the services; 50% of the estimated fee is payable in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052816","versionId":1052816,"submittedOn":"2026-07-24","documentName":"TRADEMARK CAPITAL MANAGEMENT, INC. BROCHURE"},{"role":"other","program":"Retirement Plan Advisory Fees","summary":"Retirement plan advisory fees are negotiated case by case with the plan sponsor or named fiduciary before the plan agreement is signed.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052816","versionId":1052816,"submittedOn":"2026-07-24","documentName":"TRADEMARK CAPITAL MANAGEMENT, INC. BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T15:11:16.37616+00:00","documents":[{"name":"TRADEMARK CAPITAL MANAGEMENT, INC. BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052816","versionId":1052816,"submittedOn":"2026-07-24"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":90469663},{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":41436124}],"custodyNote":"Trademark Capital Management has custody of $27.1M for 43 clients.","otherCustodians":[],"leadership":[{"name":"Joseph Ezernack","title":"CEO, CIO, Chief Compliance Officer, Shareholder","crd":"4639821"},{"name":"Donald Beasley","title":"Principal, Shareholder","crd":"1910483"}],"ownership":[{"label":"Joseph Ezernack","detail":"Ceo, cio, chief compliance officer, shareholder in the 50% to 75% ownership band and a control person, since January 2011."},{"label":"Donald Beasley","detail":"Principal, shareholder in the 25% to 50% ownership band and a control person, since January 2011."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":3},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Georgia","offices":1,"addresses":[{"street":"1551 Jennings Mill Road, Suite 1200a","city":"Watkinsville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"706-534-2351","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Educational seminars/workshops"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":13},{"label":"U.S. state and local bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":52},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":11},{"label":"Cash and cash equivalents","percent":23}],"privateFunds":2},"sources":{"adv1FilingDate":"29 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/214512/PDF/214512.pdf","brochureDate":"24 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1052816","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 Trademark Capital Management have?","answer":"Trademark Capital Management has 339 clients and manages $151 million for them, as of September 2026. They include 304 individual clients, 26 high-net-worth individuals, and 7 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Trademark Capital Management offer?","answer":"Trademark Capital Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, and educational seminars.","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 Trademark Capital Management charge?","answer":"Trademark Capital Management charges up to 1.25% a year for its Portfolio Management Fees. The fee is negotiable.","source":"TRADEMARK CAPITAL MANAGEMENT, INC. BROCHURE, filed 24 July 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Trademark Capital Management use?","answer":"Trademark Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $90.5M and National Financial Services LLC (Boston, MA), with $41.4M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Trademark Capital Management have?","answer":"Trademark Capital Management has 4 investment adviser representatives registered with state securities authorities, out of 7 employees, and 4 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 Trademark Capital Management invest in?","answer":"At the end of its last fiscal year, Trademark Capital Management’s separately managed accounts held 52% registered funds (mutual funds, ETFs, BDCs), 23% cash and equivalents, 13% exchange-traded equities, 11% pooled vehicles (private funds and similar) and 1% state and local bonds. It advises 2 private funds.","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 Trademark Capital Management?","answer":"Trademark Capital Management’s direct owners are Joseph Ezernack (50% to 75%) and Donald Beasley (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Trademark Capital Management get paid?","answer":"Trademark Capital Management is paid through a percentage of assets under management, hourly charges, fixed fees 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":"How do I contact Trademark Capital Management?","answer":"Trademark Capital Management’s main office is at 1551 Jennings Mill Road, Suite 1200a, Watkinsville, GA 30677. Its phone number is 706-534-2351. Its website is trademarkcapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 29 September 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."}