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Ethos Capital Management, Inc.

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Client assets under management

$155,381,974

Clients

181

53% high-net-worth

Advisors

4

of 4 employees

Firm type

Supported

1-4 advisors or >$200M in AUM

More info

Clients per advisor

45

Typical

Average account size

$858,464

About

Ethos Capital Management, Inc. is an SEC-registered investment adviser that provides portfolio management, financial planning, and related consulting to individuals, high-net-worth clients, trusts, estates, and business entities. The firm also recommends and monitors third-party sub-advisers and offers insurance products through an affiliated insurance agency.

The firm documents client objectives in individualized Investment Policy Statements and implements strategies using fundamental, technical, and cyclical analysis, operating with either discretionary or non-discretionary authority depending on client preference. It relies on model portfolios and a sub-advisory arrangement with a national asset manager for some client accounts, and delivers written financial plans and ongoing portfolio reviews as part of its service model.

Compared with many peers, Ethos discloses a regulatory enforcement matter resolved with the state regulator that arose from a clerical drafting discrepancy and was settled without client harm, and it maintains a written disclosure about that incident in the brochure. The firm also indicates it conducts educational seminars or workshops as part of its client outreach, and it maintains affiliated insurance activities and standing letters of authorization for certain client disbursements—features the brochure highlights as potential sources of conflicts that the firm documents and discloses.

Client services

Financial planning Portfolio management Selection of other advisers Educational seminars or workshops

Expertise

Options & derivatives strategies Tax-loss harvesting Retirement income strategy Wealth management

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Fee options

Percentage

$0 - $1,000,000: 1.25% $1,000,001 - $2,000,000: 1.15% $2,000,001 - $3,000,000: 1.05% $3,000,001 - $5,000,000: 0.95% $5,000,001+: 0.75%

Project-based

$350 per hour for financial planning services

Other

Account minimum: $750,000 Fee-only: Financial planning: $350 per hour, minimum $1,650

Main office location

Ethos Capital Management, Inc.

626 South State Street

Newtown PA 18940, United States

Number of offices

3

Most active in

More info

Florida · New Jersey · Pennsylvania · South Carolina · Texas

Disclosures

More info

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

More info

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

LinkedIn Facebook Website 215-968-1820

Advisors at this firm

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user avatar

Sean C

CFP®, Series 63

Newtown, PA

Ethos Capital Management, Inc.

Sean Conner is a CFP® with 18 years of experience in the financial industry. He currently works at Ethos Capital Management, Inc. and previously spent 15 years at Macquarie Investment Management (Delaware Funds). Conner is also involved in insurance-related activities through ETHOS CAPITAL ADVISORS, LLC. Ethos Capital Management, Inc. is an SEC-registered investment adviser serving individuals, high-net-worth clients, trusts, estates, and business entities. The firm provides portfolio management, financial planning, and consulting services, utilizing fundamental, technical, and cyclical analysis alongside model portfolios and sub-advisory relationships.

Options & derivatives strategies Tax-loss harvesting Retirement income strategy Wealth management
user avatar

Steven T

CFP®, Series 63, Series 65

Newtown, PA

Ethos Capital Management, Inc.

Steven Toto is a CFP® with 38 years of industry experience and is currently a financial advisor at Ethos Capital Management, Inc. He has previously worked at Madison Avenue Securities, LLC, AE Wealth Management, LLC, The Retirement Group, LLC, and FSC Securities Corporation. In addition to his advisory work, he is also an insurance agent with Ethos Capital Advisors, LLC. Ethos Capital Management, Inc. provides portfolio management, financial planning, and consulting services to individuals, high-net-worth clients, trusts, estates, and business entities. The firm uses a combination of fundamental, technical, and cyclical analysis to implement investment strategies and offers both discretionary and non-discretionary portfolio management.

Options & derivatives strategies Tax-loss harvesting Retirement income strategy Wealth management
user avatar

Emily T

Series 65

Newtown, PA

Ethos Capital Management, Inc.

Emily Toto is a financial advisor at Ethos Capital Management, Inc. She holds a Series 65 designation and has one year of experience in the industry. Prior to joining Ethos, she worked at Macquarie Group for six years and held positions at UBS and Polymathes Capital. Ethos Capital Management, Inc. is an SEC-registered investment adviser providing portfolio management, financial planning, and consulting services to individuals, high-net-worth clients, trusts, estates, and business entities. The firm uses individualized Investment Policy Statements and combines fundamental, technical, and cyclical analysis to implement client strategies, utilizing both discretionary and non-discretionary authority.

Options & derivatives strategies Tax-loss harvesting Retirement income strategy Wealth management
user avatar

Gregory L

CFP®, Series 65

Newtown, PA

Ethos Capital Management, Inc.

Gregory Lichtenstein is a CFP® and holds a Series 65 license with four years of industry experience. He has worked with Ethos Capital Management, Inc. and Ethos Capital Advisors, LLC since 2021. Outside of his advisory role, he serves as a part-time assistant lacrosse coach at Pennsbury High School. Ethos Capital Management, Inc. is an SEC-registered investment adviser that provides portfolio management, financial planning, and consulting services to individuals, high-net-worth clients, trusts, estates, and business entities. The firm uses individualized Investment Policy Statements and a combination of fundamental, technical, and cyclical analysis, offering both discretionary and non-discretionary management through model portfolios and sub-advisory arrangements.

Options & derivatives strategies Tax-loss harvesting Retirement income strategy Wealth management
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