{"url":"https://nivawealth.com/firms/warren-capital-management-137449","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/137449","regulatoryAum":130989034,"crd":"137449","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6438989","suffix":null,"lastName":"ALLEN","firstName":"PARKER","middleName":"STELLING"},{"crd":"6923097","suffix":null,"lastName":"MOLINI","firstName":"HECTOR","middleName":"ENRIQUE"},{"crd":"2957268","suffix":null,"lastName":"WARREN","firstName":"JOSEPH","middleName":"RICHARD"}],"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":"2021-04-22","regulatoryAum":101302183,"clients":176,"employees":4,"offices":1},{"filedOn":"2022-02-25","regulatoryAum":115119668,"clients":177,"employees":4,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":84252304,"clients":203,"employees":4,"offices":1},{"filedOn":"2024-02-16","regulatoryAum":90707431,"clients":211,"employees":4,"offices":1},{"filedOn":"2025-03-18","regulatoryAum":124804877,"clients":187,"employees":4,"offices":1},{"filedOn":"2026-06-11","regulatoryAum":130989034,"clients":188,"employees":3,"offices":1}],"secFileNumber":"801-121205","legalName":"Warren Capital Management, Inc.","displayName":"Warren Capital Management","slug":"warren-capital-management-137449","website":"https://warcap.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"http://linkedin.com/company/warren-capital-group","xUrl":"https://twitter.com/WarrenCapital","founded":null,"organization":"South Carolina corporation","fiscalYearEnd":"December","headquarters":{"street":"32 Cooper Street","city":"Charleston","state":"SC","stateName":"South Carolina","country":"United States","postalCode":"29403"},"tradeNames":[],"registration":{"secApproved":"12 May 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":376187.91160220996,"staff":{"employees":3,"advisory":3,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":130989034,"discretionary":125319856,"discretionaryAccounts":424,"nonDiscretionary":5669178,"nonDiscretionaryAccounts":4,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":114,"regulatoryAum":17078083},{"label":"High-net-worth individuals","clients":67,"regulatoryAum":51011929},{"label":"Investment companies","clients":1,"regulatoryAum":56986918},{"label":"Pension and profit-sharing plans","clients":4,"fewerThan5":true,"regulatoryAum":5669178},{"label":"Corporations and other businesses","clients":2,"fewerThan5":true,"regulatoryAum":242926}],"feePrograms":[{"role":"main","program":"Advisory Fee Program","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048123","versionId":1048123,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-06-11","documentName":"MAY 2026 PART 2A","fee_rate_low":1.25,"fee_rate_high":2.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Coordinated Tax Preparation and Filing","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048123","versionId":1048123,"submittedOn":"2026-06-11","documentName":"MAY 2026 PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T13:20:56.899662+00:00","documents":[{"name":"MAY 2026 PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048123","versionId":1048123,"submittedOn":"2026-06-11"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048124","versionId":1048124,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048122","versionId":1048122,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":87899814},{"name":"Ascensus Broker Dealer Services, LLC","shortName":"Ascensus Broker Dealer Services","location":"Dresher, PA","smaAssets":2807617}],"custodyNote":"Warren Capital Management does not have custody of client assets.","leadership":[{"name":"Joseph Warren","title":"President; CEO","crd":"2957268"},{"name":"Parker Allen","title":"CCO","crd":"6438989"}],"ownership":[{"label":"Joseph Warren","detail":"President; ceo in the 75% or more ownership band and a control person, since July 2005."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"South Carolina","offices":1,"addresses":[{"street":"32 Cooper Street","city":"Charleston","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"854-246-8881","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for investment companies"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":92},{"label":"U.S. government/agency bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":5},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"11 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/137449/PDF/137449.pdf","brochureDate":"11 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1048123","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 Warren Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Warren Capital Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Warren Capital Management charge?","answer":"Warren Capital Management charges 1.25%–2.50% a year for its Advisory Fee Program. The fee is billed in advance and is negotiable.","source":"MAY 2026 PART 2A, filed 11 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Warren Capital Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Warren Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Warren Capital Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Warren Capital Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Warren Capital Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Warren Capital Management registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Warren Capital Management?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 11 June 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."}