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WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

BRISTOL, CT · CRD 226535 · IAPD ↗ · 860.973.3214

$694.3MRegulatory AUM
27Advisory reps
27Employees
0Clients
26-50Planning clients
0Private funds
19States
3Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
April 2026 — WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. added office(s): 26 -> 27 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
April 2026 — WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
63
April 2026 — WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
70
April 2026 — WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. crossed $500M in regulatory AUM ($465.1M -> $694.3M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
45
December 2025 — WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. notice-filed in AR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
49
April 2025 — WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. notice-filed in IN, MI, NJ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2025 — WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. added office(s): 21 -> 27 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
72
April 2025 — WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. reported RAUM up 72% ($270.2M -> $465.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
75
April 2025 — WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. grew from 19 to 26 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
53
September 2024 — WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. added office(s): 20 -> 21 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
August 2024 — WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. added office(s): 19 -> 20 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
47
April 2024 — WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. notice-filed in ME, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
April 2024 — WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. reported RAUM up 34% ($201.3M -> $270.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
55
February 2024 — WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC is now doing business as WILLIAM JOSEPH CAPITAL MANAGEMENT, INC..
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.