Warren Capital Management provides financial planning, portfolio management for individuals and small businesses, and portfolio management for investment companies. Financial planning was provided to 101–250 clients last fiscal year.
Warren Capital Management reports 188 clients. They include 114 individual clients, 67 high-net-worth individuals, and 4 pension and profit-sharing plans. Of its assets, 95.7% ($125M across 424 accounts) are managed with discretion; $5.67M across 4 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 61% | 13% |
| High-net-worth individuals | 36% | 39% |
| Investment companies | <1% | 44% |
| Pension and profit-sharing plans | 2% | 4% |
| Corporations and other businesses | 1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 114 | $17.1M | 13.0% | $150K |
| High-net-worth individuals | 67 | $51M | 38.9% | $761K |
| Investment companies | 1 | $57M | 43.5% | $57M |
| Pension and profit-sharing plans | Fewer than 5 | $5.67M | 4.3% | $1.42M |
| Corporations and other businesses | Fewer than 5 | $243K | 0.2% | $121K |
| Total | 188 | $131M | 100% | — |
- Clients
- 114
- Regulatory AUM
- $17.1M
- AUM share
- 13.0%
- Avg. per client
- $150K
- Clients
- 67
- Regulatory AUM
- $51M
- AUM share
- 38.9%
- Avg. per client
- $761K
- Clients
- 1
- Regulatory AUM
- $57M
- AUM share
- 43.5%
- Avg. per client
- $57M
- Clients
- Fewer than 5
- Regulatory AUM
- $5.67M
- AUM share
- 4.3%
- Avg. per client
- $1.42M
- Clients
- Fewer than 5
- Regulatory AUM
- $243K
- AUM share
- 0.2%
- Avg. per client
- $121K
Total
- Clients
- 188
- Regulatory AUM
- $131M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 101–250
Warren Capital Management charges 1.25%–2.50% a year for its Advisory Fee Program. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Coordinated Tax Preparation and Filing
- Coordinated tax preparation and filing through an independent accounting firm may carry an additional advisory fee or a flat planning or coordination fee; no amount is stated.
Joseph Warren owns 75% or more of Warren Capital Management. The leadership team of Warren Capital Management includes President Joseph Warren. It has 3 employees.
Leadership
Joseph WarrenPresident; CEO- Parker AllenCCO
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
Staff
- 3 employees
- 3 in advisory functions
- 3 state-registered reps
- 1 insurance agent
- Owns 75% or more of Warren Capital Management, Inc.
Joseph Warren
Control person · since July 2005
Warren Capital Management’s regulatory assets grew from $101M (April 2021) to $131M (June 2026); clients rose from 176 to 188 and employees fell from 4 to 3.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| June 2026 | $131M | 188 | 3 | 1 |
| March 2025 | $125M | 187 | 4 | 1 |
| February 2024 | $90.7M | 211 | 4 | 1 |
| March 2023 | $84.3M | 203 | 4 | 1 |
| February 2022 | $115M | 177 | 4 | 1 |
| April 2021 | $101M | 176 | 4 | 1 |
Besides its headquarters, Warren Capital Management has 0 offices, with 1 listed address in South Carolina.
South Carolina · 1 listed address
- 32 Cooper Street, CharlestonHQ
Contact and registration details
- Legal name
- Warren Capital Management, Inc.
- Headquarters
- 32 Cooper Street, Charleston, SC 29403
- Website
- warcap.com
- Phone
- 854-246-8881
- @warren-capital-group
- SEC file
- 801-121205
- Structure
- South Carolina corporation
- Fiscal year end
- December
Warren Capital Management uses Charles Schwab ($87.9M, 97%) and Ascensus Broker Dealer Services ($2.81M, 3%) as custodians for its separately managed accounts. Warren Capital Management does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $87.9M97%
- Ascensus Broker Dealer ServicesAscensus Broker Dealer Services, LLC · Dresher, PA · $2.81M3%
At year end, Warren Capital Management’s separately managed accounts were mostly in stocks (92%).
What the accounts hold
- Stocks92%
- Funds5%
- Bonds3%
- Cash4%
How many clients does Warren Capital Management have?
Warren Capital Management has 188 clients and manages $131 million for them, as of June 2026. They include 114 individual clients, 67 high-net-worth individuals, and 4 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 11 June 2026
What services does Warren Capital Management offer?
Warren Capital Management provides financial planning, portfolio management for individuals and small businesses, and portfolio management for investment companies.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Warren Capital Management charge?
Warren Capital Management charges 1.25%–2.50% a year for its Advisory Fee Program. The fee is billed in advance and is negotiable.
Which custodians does Warren Capital Management use?
Warren Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $87.9M and Ascensus Broker Dealer Services, LLC (Dresher, PA), with $2.81M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 11 June 2026
How many financial advisors does Warren Capital Management have?
Warren Capital Management has 3 investment adviser representatives registered with state securities authorities, out of 3 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
What does Warren Capital Management invest in?
At the end of its last fiscal year, Warren Capital Management’s separately managed accounts held 92% exchange-traded equities, 5% registered funds (mutual funds, ETFs, BDCs), 4% cash and equivalents and 3% U.S. government and agency bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Warren Capital Management?
Warren Capital Management’s direct owner is Joseph Warren (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 11 June 2026
How does Warren Capital Management get paid?
Warren Capital Management is paid through a percentage of assets under management and fixed fees. 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
Is Warren Capital Management registered with the SEC?
Yes, Warren Capital Management has been registered with the SEC as an investment adviser since 12 May 2021. Its CRD number is 137449 and its SEC file number is 801-121205.
Source: Form ADV Part 1A, Item 1, filed 11 June 2026; IAPD firm record
How do I contact Warren Capital Management?
Warren Capital Management’s main office is at 32 Cooper Street, Charleston, SC 29403. Its phone number is 854-246-8881. Its website is warcap.com.