{"url":"https://nivawealth.com/firms/wertz-york-capital-management-group-115344","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/115344","regulatoryAum":18164131116,"crd":"115344","secFileNumber":"801-60690","legalName":"Wertz York Capital Management Group, LLC","displayName":"Wertz York Capital Management Group","website":null,"founded":null,"organization":"Florida limited liability company","fiscalYearEnd":"December","headquarters":{"street":"4830 W. Kennedy BLVD., One Urban Centre - Suite 835","city":"Tampa","state":"FL","stateName":"Florida","country":"United States","postalCode":"33609"},"tradeNames":[],"registration":{"secApproved":"23 November 2001","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":20,"advisory":9,"brokerDealerReps":0,"insuranceAgents":0,"promoters":3},"aum":{"discretionary":12428526656,"discretionaryAccounts":17,"nonDiscretionary":5735604460,"nonDiscretionaryAccounts":16,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":3},"clientTypes":[{"label":"Pooled investment vehicles","clients":8,"regulatoryAum":9588848031},{"label":"State or municipal government entities","clients":25,"regulatoryAum":8575283085}],"fees":[],"feeNotes":[],"custodians":[{"name":"US Bank","shortName":"US Bank","location":"Cincinnati, OH","smaAssets":1583366658},{"name":"Bank of New York Mellon Corp","shortName":"Bank of New York Mellon","location":"New York, NY","smaAssets":9995924579}],"custodyNote":"Wertz York Capital Management Group does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Michael Wertz","title":"President/CEO","crd":"4067130"},{"name":"Jason Ewasko","title":"Chief Compliance Officer","crd":"4622799"},{"name":"David Jang","title":"Chairman/Chief Revenue Officer","crd":"3141225"}],"ownership":[{"label":"Michael Wertz","detail":"President/ceo in the 75% or more ownership band and a control person, since June 2025."},{"label":"David Jang","detail":"Chairman/chief revenue officer in the 5% to 10% ownership band and a control person, since June 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"4830 W. Kennedy BLVD., One Urban Centre - Suite 835","city":"Tampa","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"813-238-4800","stateRegisteredReps":7,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Educational seminars/workshops","Other"],"financialPlanningClients":"0","assetMix":[{"label":"U.S. government/agency bonds","percent":18},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":2},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":72},{"label":"Cash and cash equivalents","percent":5},{"label":"Other","percent":2,"detail":"Commercial Papers and Bank CDS."}],"privateFunds":0},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/115344/PDF/115344.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Wertz York Capital Management Group have?","answer":"Wertz York Capital Management Group has 33 clients and manages $18.2 billion for them, as of March 2026. They include 25 state or municipal government entities and 8 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wertz York Capital Management Group offer?","answer":"Wertz York Capital Management Group provides portfolio management for pooled vehicles, portfolio management for institutions, educational seminars and other activities.","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 Wertz York Capital Management Group use?","answer":"Wertz York Capital Management Group’s separately managed account assets are held at Bank of New York Mellon Corp (New York, NY), with $9,995,924,579 and US Bank (Cincinnati, OH), with $1,583,366,658. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wertz York Capital Management Group have?","answer":"Wertz York Capital Management Group has 7 investment adviser representatives registered with state securities authorities, out of 20 employees, and 9 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 Wertz York Capital Management Group invest in?","answer":"At the end of its last fiscal year, Wertz York Capital Management Group’s separately managed accounts held 72% pooled vehicles (private funds and similar), 18% U.S. government and agency bonds, 5% cash and equivalents, 2% registered funds (mutual funds, ETFs, BDCs), 2% commercial papers and bank cds. and 1% investment grade corporate bonds. It advises no private funds of its own.","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 Wertz York Capital Management Group?","answer":"Wertz York Capital Management Group’s direct owners are Michael Wertz (75% or more) and David Jang (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wertz York Capital Management Group get paid?","answer":"Wertz York Capital Management Group is paid through a percentage of assets under management, hourly charges 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"}}],"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 Wealth 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."}