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WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
CRD 226535File 801-119964
APPROVED
Retail clients
Disclosure events
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$694.3M
Above cohort median (national)
Discretionary AUM
$694.3M
Clients
1,879
1,879 accounts
Employees
27
Below cohort median in CT
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Dec 11, 2020
- Principal office
- 210 RED STONE HILL ROAD, SUITE 5, BRISTOL, CT, 06010
- Phone
- 860.973.3214
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $694.3M
- Discretionary AUM
- $694.3M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,879
- Non-discretionary accounts
- 0
- Total accounts
- 1,879
- AUM per client
- $369K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 167 | $287.1M |
| Individuals (other than high net worth individuals) | 1,712 | $407.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Hourly charges
- Other (described) — SELECTION OF OTHER ADVISERS
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11D2
- Q11D3
- Q11E3
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 26 | 27 | increased by1 |
| Apr 1, 2026 | Clients | 1,153 | 1,879 | increased by726 |
| Apr 1, 2026 | AUM | $465,072,406 | $694,256,348 | increased by$229,183,942 |
| Apr 1, 2026 | Accounts | 1,153 | 1,879 | increased by726 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 15 | 26 | increased by11 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 595 | 1,153 | increased by558 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $174,390,063 | $465,072,406 | increased by$290,682,343 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,159 | 1,153 | decreased by6 |
| Apr 1, 2022 | Clients | 432 | 595 | increased by163 |
| Apr 1, 2022 | AUM | $114,188,130 | $174,390,063 | increased by$60,201,933 |
| Apr 1, 2022 | Accounts | 888 | 1,159 | increased by271 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “WILLIAM JOSEPH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“WILLIAM JOSEPH” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.