SourcingSourcing

ETHOS CAPITAL MANAGEMENT, INC.

C48
CRD 313145·SEC 801-132170·NEWTOWN, PA
AUM
$155.4M
$100M-$500M
Est. Revenue
$1.6M
@ 1% on AUM
Est. EBITDA
$466K
@ 30% margin
Est. Deal Value
$3.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ETHOS CAPITAL MANAGEMENT, INC.
CRD
313145
SEC file #
801-132170
EIN
862547106
DBA names
—

Economics

AUM
$155.4M
AUM band
$100M-$500M
AUM trajectory
'25'26
$129.1M → $155.4M▲ +20%
Client mix
Individuals High Net Worth96
Individuals Other85

Operations

Employees (total)
4
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'25'26
4 advisors → 4 advisors▬ 0%
Primary office
NEWTOWN PA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsSelection of other advisersEducational Seminars Workshops
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
04/16/2026
ADV-W filed at
—
Website
linkedin.com/company/ethos-capital-advisors(social)

Compliance

Disclosures (firm)
1
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
TOTO, NOREEN, HARRIETTE
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
TOTO, NOREEN, HARRIETTE
TOTO, STEVEN, JOSEPH
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:ethos.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002106214
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2026-01-21
Edgar Last Filing Date
2026-04-07
Edgar 13f Count
2
Edgar 13f Latest AUM Estimate
Filing Date2026-04-07
Accession0002106214-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
Charles Schwab6
E*trade4
State Street1
Edgar Addresses
Mailing
626 SOUTH STATE STREETNEWTOWN, PA 18940
Business
626 SOUTH STATE STREETNEWTOWN, PA 18940
Edgar EIN
862547106
Edgar Recent Filings
13F-HR2026-04-07 · 0002106214-26-000002
13F-HR2026-01-21 · 0002106214-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
6838338
Trust Company Affiliate
No

People (5)

5
TOTO, NOREEN, HARRIETTE
Direct Owner · 62.5%
6838338
TOTO, STEVEN, JOSEPH
IAR · Direct Owner · 37.5%
1698379
Emily Victoria Toto
IAR
8158651
Gregory Michael Lichtenstein
IAR
7138993
SEAN MICHAEL CONNER
IAR
4475108