WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
Adviser information for WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. last updated from Form ADV on March 23rd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 19 |
|---|---|
| Investment Advisory/Research | 19 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 19 |
| Licensed Agents of an Insurance Company | 13 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 835 | $270.2M |
| Non-Discretionary | 0 | $0 |
| Total | 835 | $270.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 822 | $244.4M |
| HNW Individuals | 13 | $25.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 20 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesSELECTION OF OTHER ADVISERS |
Identifiers
| SEC RIA File Number | 801-119964 |
|---|---|
| SEC ERA File Number | 801-119964 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 226535 |
| Legal Entity Identifier | None |
Principal Office
210 RED STONE HILL ROADSUITE 5
BRISTOL
CT
United States
Monday - Friday, 9:00 AM - 4:00 PM
Tel: 860.973.3214, Fax: 860-584-8462
Chief Compliance Officer
WALTER R COSTENBADER
697 CHURCHILL DOWNS DR
MYRTLE BEACH
SC
United States
Tel:
8609974160
W*****************@**********M
(Full email address available in API data)
Regulatory Contact
MATTHEW SWEENEY
MANAGING PRINCIPAL
210 RED STONE HILL ROAD
SUITE 5
BRISTOL
CT
United States
Tel:
(860) 402-4481
Fax:
860-584-8462
M**************@**********M
(Full email address available in API data)
Industry Affiliates
| ABACUS FINANCIAL ADVISORS, LLC | Insurance company or agency |
| DEAN ANATRA, CPA LLC | Accountant or accounting firm |
| DILEO & CHARLES TAX AND CONSUTLING SERVICES, LLC | Accountant or accounting firm |
| HIQS GROUP | Insurance company or agency |
| LEGACY RETIREMENT GROUP, LLC | Insurance company or agency |
| MINNINGER FINANCIAL SERVICES, LLC DBA WAYPOINT WEALTH PLANNING | Insurance company or agency |
| NATHAN ZIEGLER & ASSOCIATES | Lawyer or law firm |
| RED FEATHER FINANCIAL | Insurance company or agency |
| RICCI AND CO. CPA'S AND CONSULTANTS, LLC | Accountant or accounting firm |
| ROBERSON, TIERNEY & ASSOCIATES, LLC | Lawyer or law firm |
| STATELINE SENIOR SERVICES | Insurance company or agency |
| SYNERGY INDEPENDENT FINANCIAL SOLUTIONS, LP | Insurance company or agency |
| THE PRODUCERS FIRM | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SWEENEY, MATTHEW, THOMAS | Individual | – | MANAGING DIRECTOR | 04/2015 | 25-50% |
| GOSS, JOSEPH, ELZIE | Individual | – | MANAGING PRINCIPAL | 04/2015 | 25-50% |
| COSTENBADER, WALTER, RUSSELL | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2023 | < 5% |
| BOLMGREN, JUSTIN, KARL | Individual | – | CHIEF OPERATIONS OFFICER | 03/2024 | 25-50% |