Ethos Capital Management, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
Fee options
$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%
$350 per hour for financial planning services
Account minimum: $750,000 Fee-only: Financial planning: $350 per hour, minimum $1,650
Main office
626 South State Street
Newtown PA 18940
Advisors at this office
4
Most active in
Florida · New Jersey · Pennsylvania · South Carolina · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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.
Quick links
Advisors at this firm
Sean C
CFP®, Series 63
Newtown, PA
Ethos Capital Management, Inc.
Sean Conner is a CFP® with 19 years of industry experience. He has worked at Macquarie Investment Management for 15 years and has been with Ethos Capital Management, Inc. since 2024. He also holds an administrative role in insurance through a related entity. Ethos Capital Management, Inc. provides portfolio management, financial planning, and consulting services to individuals, high-net-worth clients, trusts, estates, and business entities, utilizing individualized Investment Policy Statements and a combination of fundamental, technical, and cyclical analysis in its investment approach.
Steven T
CFP®, Series 63, Series 65
Newtown, PA
Ethos Capital Management, Inc.
Steven Toto is a CFP®-certified financial advisor with 39 years of industry experience. He is currently with Ethos Capital Management, Inc., where he has worked since 2021. His prior roles include positions 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 licensed as an insurance agent through Ethos Capital Advisors, LLC. Ethos Capital Management, Inc. serves individuals, high-net-worth clients, trusts, estates, and business entities by providing portfolio management, financial planning, and consulting services. The firm implements investment strategies based on fundamental, technical, and cyclical analysis, uses model portfolios and sub-advisers, and offers ongoing financial planning and portfolio review.
Emily T
Series 65
Newtown, PA
Ethos Capital Management, Inc.
Emily Toto is a financial advisor at Ethos Capital Management, Inc. with one year of industry experience. She holds a Series 65 designation and previously worked at Macquarie Group for six years, UBS for one year, and Polymathes Capital for one year. 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 individualized Investment Policy Statements and employs fundamental, technical, and cyclical analysis, offering both discretionary and non-discretionary management options.
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.
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