Ward Capital Management LLC

Ward Capital provides investment advisory and retirement-plan services to a mix of individual investors (including high‑net‑worth clients), trusts and estates, and institutional retirement plans, as well as nonprofits, foundations, corporations, small businesses and churches. Services include discretionary and non‑discretionary asset management, complimentary financial planning for asset management clients, and ERISA Section 3(21) fiduciary consulting for pension and 401(k) plans.

The firm manages client portfolios using a single stock model portfolio—typically eight to eighteen holdings—supplemented by purchases of individual corporate and municipal bonds, and employs both fundamental and technical analysis in portfolio construction and trading. For plan clients it provides quarterly benchmarking reports (engaging Paychex for benchmarking and pricing across multiple vendors), ongoing monitoring of plan menu options, and participant education and enrollment support.

Noteworthy differences from many peers include the combination of retail asset management with institutional pension consulting and formal 3(21) fiduciary services, and the firm’s disclosure that it may receive transaction commissions on some business—both of which are uncommon among independent advisers. The firm directs custody to a single custodian for advisory accounts (and uses common recordkeepers for plan business) and reports roughly $27 million in combined discretionary and non‑discretionary assets under management with additional assets under advisement.