Ethos Capital Group, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Ethos Capital Group, LLC provides investment management and financial planning to a mix of individual clients, small businesses, trusts, estates, high-net-worth individuals, pooled investment vehicles and charities. The firm offers discretionary portfolio management as well as standalone financial planning and consulting engagements tailored to each client’s goals.
Ethos draws on fundamental, technical and quantitative analysis to build client-specific strategies, documents client objectives and restrictions, and conducts account reviews at least annually with rebalancing and tax-loss harvesting as appropriate. The brochure notes the firm bills investment management on an asset-based basis (with fees billed quarterly in advance) and also offers separately billed financial planning engagements, while retaining flexibility to negotiate fee arrangements and group related accounts for fee determination.
Compared with many peers, Ethos is a small, two-advisor team managing a mid-sized asset base and discloses cross-practice activity in which its investment adviser representatives may also serve as licensed insurance agents and receive external compensation for insurance sales; the firm identifies disclosures and fiduciary processes to address the resulting conflicts of interest. The brochure also highlights prepaid quarterly billing and the firm’s non-participation in wrap fee programs, features that are less common among similarly supported firms.
Client services
Expertise
Fee options
2.00% annually
$400 per hour
Main office
3801 Woodland Heights Rd, Suite 125 F
Little Rock AR 72212
Advisors at this office
2
Most active in
Arkansas · Louisiana · Texas
Also doing business as
Ethos Capital Group, LLC · Name 820
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
Advisors at this firm
Stephen N
CFP®, Series 63, Series 66
Little Rock, AR
Ethos Capital Group, LLC
Stephen Northington is a CFP® professional with 27 years of industry experience. He is currently with Ethos Capital Group, LLC, where he has worked since 2021, following a 12-year tenure at LPL Financial under the Northington Investment Group. Ethos Capital Group serves individuals, small businesses, trusts, estates, pooled investment vehicles, and charities. The firm offers discretionary asset management, financial planning, and an ERISA/401(k) advisory subscription service, tailoring investment programs and financial plans to client goals, time horizons, and risk tolerance.
Jay F
CFP®, Series 66
Little Rock, AR
Ethos Capital Group, LLC
Jay Frederick is a CERTIFIED FINANCIAL PLANNER™ professional with 22 years of industry experience. He has been with Ethos Capital Group, LLC since 2009 and holds the Series 66 designation. The firm serves individuals, small businesses, trusts, estates, pooled investment vehicles, and charities, providing discretionary asset management, financial planning, and an ERISA/401(k) advisory subscription service. Ethos Capital Group manages approximately $75 million in client assets across about 134 client relationships, tailoring investment programs to client goals, time horizons, and risk tolerance.
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