THE JOSEPH GROUP CAPITAL MANAGEMENT
THE JOSEPH GROUP LLC Legal Name
Adviser information for THE JOSEPH GROUP CAPITAL MANAGEMENT last updated from Form ADV on March 28th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 22 |
|---|---|
| Investment Advisory/Research | 14 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 768 | $811.7M |
| Non-Discretionary | 0 | $0 |
| Total | 768 | $811.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 488 | $168.4M |
| HNW Individuals | 266 | $615.4M |
| 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 | 14 | $27.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 36 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-77130 |
|---|---|
| SEC ERA File Number | 801-77130 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 165311 |
| Legal Entity Identifier | None |
Principal Office
605 SOUTH FRONT STREETSUITE 100
COLUMBUS
OH
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 614-228-4300, Fax: 614-629-0050
Chief Compliance Officer
BRUCE SCOTT MIZER
PRESIDENT
605 SOUTH FRONT STREET
SUITE 100
COLUMBUS
OH
United States
Tel:
614-228-4300
Fax:
614-629-0050
S**********@**************M
(Full email address available in API data)
Regulatory Contact
MARK J. PALMER
CHAIRMAN
605 SOUTH FRONT STREET
SUITE 100
COLUMBUS
OH
United States
Tel:
614-228-4300
Fax:
614-629-0050
M**********@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PALMER, MARK, JOSEPH | Individual | – | CHAIRMAN | 01/2017 | < 5% |
| PALMER, MATTHEW, DAVID | Individual | – | CHAIRMAN/MEMBER | 01/2020 | < 5% |
| UPTON, ROBERT, TRAVIS | Individual | – | CEO/MEMBER | 01/2020 | 25-50% |
| TWINVESTMENTS, INC. | Domestic Entity | – | CORPORATION/MEMBER | 04/2012 | 25-50% |
| PALMER, MARK, JOSEPH | Individual | TWINVESTMENTS, INC. | OWNER | 01/1999 | 50-75% |
| PALMER, MATTHEW, DAVID | Individual | TWINVESTMENTS, INC. | OWNER | 01/1999 | 50-75% |
| MIZER, BRUCE, SCOTT | Individual | – | PRESIDENT/MEMBER & CCO | 01/2017 | 10-25% |
| WALTER, TODD, DANIEL | Individual | – | CHIEF WEALTH PLANNING OFFICER/MEMBER | 01/2018 | 10-25% |