{"url":"https://nivawealth.com/firms/william-joseph-capital-management-226535","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/226535","regulatoryAum":694256348,"crd":"226535","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6604951","suffix":null,"lastName":"ANATRA","firstName":"DEAN","middleName":null},{"crd":"4673059","suffix":null,"lastName":"BOLMGREN","firstName":"JUSTIN","middleName":"KARL"},{"crd":"1048290","suffix":"JR","lastName":"CHARLETON","firstName":"MICHAEL","middleName":"JOSEPH"},{"crd":"1445632","suffix":null,"lastName":"COWAN","firstName":"DAVID","middleName":"LEE"},{"crd":"7833230","suffix":null,"lastName":"Cyr","firstName":"Talia","middleName":"Marie"},{"crd":"6489905","suffix":null,"lastName":"DRINKWATER","firstName":"ADAM","middleName":"THOMAS"},{"crd":"1279085","suffix":null,"lastName":"DUFOUR","firstName":"CHARLES","middleName":"PETER"},{"crd":"7603562","suffix":null,"lastName":"Gallina","firstName":"Mindy","middleName":"Nicole"},{"crd":"5115607","suffix":null,"lastName":"GOSS","firstName":"JOSEPH","middleName":"ELZIE"},{"crd":"2879347","suffix":null,"lastName":"KNUDSEN","firstName":"RICHARD","middleName":"JOSEPH"},{"crd":"2437487","suffix":null,"lastName":"LABLANCE","firstName":"MARK","middleName":"DANIEL"},{"crd":"7245677","suffix":null,"lastName":"Leuchs","firstName":"Jonathan","middleName":"D"},{"crd":"6595524","suffix":null,"lastName":"Marx","firstName":"Morgan","middleName":"Nichole"},{"crd":"4802108","suffix":null,"lastName":"MCCLOSKEY","firstName":"WILLLIAM","middleName":"JOSEPH"},{"crd":"5288131","suffix":"JR.","lastName":"MINNINGER","firstName":"STEVEN","middleName":"F"},{"crd":"3148858","suffix":null,"lastName":"NOISEUX","firstName":"BIANCA","middleName":"MICHELLE"},{"crd":"7909604","suffix":null,"lastName":"Poitras","firstName":"John","middleName":"Michael"},{"crd":"7376646","suffix":null,"lastName":"Rascionato","firstName":"Alexander","middleName":"F"},{"crd":"6550511","suffix":null,"lastName":"RICCI","firstName":"BRYAN","middleName":"J."},{"crd":"6618543","suffix":null,"lastName":"Roberson","firstName":"Daphne","middleName":"Lynn"},{"crd":"5232153","suffix":null,"lastName":"SOLDANO","firstName":"ANTHONY","middleName":null},{"crd":"2748868","suffix":null,"lastName":"Sparks","firstName":"Kimberly","middleName":"B"},{"crd":"7170461","suffix":null,"lastName":"Sternkopf","firstName":"Brianna","middleName":"Leah"},{"crd":"5705171","suffix":null,"lastName":"SWEENEY","firstName":"MATTHEW","middleName":"THOMAS"},{"crd":"1895039","suffix":null,"lastName":"TANNER","firstName":"JON","middleName":"D."},{"crd":"6141128","suffix":null,"lastName":"TORRES-GILBES","firstName":"CHRISTOPHER","middleName":"R."},{"crd":"1828227","suffix":"SR","lastName":"TUOHEY","firstName":"JAMES","middleName":"MICHAEL"},{"crd":"1782335","suffix":null,"lastName":"YETSKO","firstName":"EDWARD","middleName":"PETER"},{"crd":"6928483","suffix":null,"lastName":"Ziegler","firstName":"Sondra","middleName":"Ilene"}],"total":29,"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":"2021-05-18","regulatoryAum":114188130,"clients":432,"employees":15,"offices":6},{"filedOn":"2022-03-31","regulatoryAum":174390063,"clients":595,"employees":15,"offices":6},{"filedOn":"2023-04-24","regulatoryAum":201251887,"clients":757,"employees":16,"offices":15},{"filedOn":"2024-07-18","regulatoryAum":270208397,"clients":835,"employees":19,"offices":21},{"filedOn":"2025-07-14","regulatoryAum":465072406,"clients":1153,"employees":26,"offices":27},{"filedOn":"2026-03-31","regulatoryAum":694256348,"clients":1879,"employees":27,"offices":28}],"secFileNumber":"801-119964","legalName":"William 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They include 1,712 individual clients and 167 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does William Joseph Capital Management offer?","answer":"William Joseph Capital Management provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","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 William Joseph Capital Management charge?","answer":"William Joseph Capital Management charges 0.60%–1.35% a year for its Advisory Services.","source":"WJCM FORM ADV PART 2A FIRM BROCHURE, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does William Joseph Capital Management use?","answer":"William Joseph Capital Management’s separately managed account assets are held at Assetmark Trust Company (Concord, CA), with $564M and Charles Schwab & Co., Inc. (Westlake, TX), with $18.4M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does William Joseph Capital Management have?","answer":"William Joseph Capital Management has 27 investment adviser representatives registered with state securities authorities, out of 27 employees, and 27 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 20 employees are 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 William Joseph Capital Management invest in?","answer":"At the end of its last fiscal year, William Joseph Capital Management’s separately managed accounts held 39% exchange-traded equities, 32% registered funds (mutual funds, ETFs, BDCs), 23% investment grade corporate bonds, 3% cash and equivalents and 3% other. The 3% other category is described as: Fee Based Variable and Index Annuities.","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 William Joseph Capital Management?","answer":"William Joseph Capital Management’s direct owners are Matthew Sweeney, Joseph Goss and Justin Bolmgren, each holding 50% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does William Joseph Capital Management get paid?","answer":"William Joseph Capital Management is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. 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 William Joseph Capital Management registered with the SEC?","answer":"Yes, William Joseph Capital Management has been registered with the SEC as an investment adviser since 11 December 2020. Its CRD number is 226535 and its SEC file number is 801-119964.","source":"Form ADV Part 1A, Item 1, filed 31 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact William Joseph Capital Management?","answer":"William Joseph Capital Management’s main office is at 210 Red Stone Hill Road, Suite 5, Bristol, CT 06010. Its phone number is 860-973-3214. Its website is williamjosephcapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 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."}