Wealth manager, independent · King of Prussia, PA
Ethos Financial Group, LLC
SEC-registered investment adviser · CRD 321748 · SEC 801-125779
At a glance
Ethos Financial Group, LLC is an SEC-registered investment adviser based in King of Prussia, Pennsylvania, with $2.1B in regulatory assets under management as of its Form ADV filed August 12, 2026. It reports 1,709 individual clients, 382 of them high-net-worth, holding an average of about $1.0 million each, and 44 employees. That ranks it 519th among the nation’s 5,657 independent wealth management RIAs and 42nd of 260 in Pennsylvania. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Citi.
Main office 610-822-5246ethosfg.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.1B
- Rank among independent wealth managers
- #519 of 5,657
- Rank among all SEC RIAs
- #3,485 of 17,210
- Rank in Pennsylvania
- #42 of 260
- Individual clients
- 1,709
- High-net-worth clients
- 382
- Accounts
- 4,747
- Discretionary
- 89% of AUM
- Employees
- 44
- Advisory staff
- 33
- Offices
- 10
Owners and executives on its Form ADV
- James W. JudgeExecutive Officer
- Daniel C. GuyExecutive Officer / CCO
Custody and brokerage
Broker-dealer
Hybrid RIA
Ethos Financial Group, LLC is a hybrid RIA: 6 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 382 | $1.3B | 61% |
| Corporations or other businesses | 86 | $426M | 20% |
| Individuals | 1,327 | $359M | 17% |
| Charitable organizations | 12 | $35M | 2% |
| Other investment advisers | 1 | $26M | 1% |
Disciplinary disclosures
Ethos Financial Group, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗ethosfg.com ↗
AtlasMembers
The full record on Ethos Financial Group, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 3 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 1,845 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Pennsylvania
All of Pennsylvania →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Traynor Capital ManagementMalvern | $2.4B | 1,590 |
| Corient SHC Wealth Management (US) LPPhiladelphia | $2.3B | 73 |
| Stonebridge Financial Group, LLCWormleysburg | $2.3B | 1,287 |
| Conservest Capital Advisors IncWynnewood | $1.9B | 278 |
| DT Investment Partners, LLCChadds Ford | $1.9B | 1,296 |
| Mitchell Sinkler & StarrPhiladelphia | $1.8B | 240 |
Background
Questions
How much does Ethos Financial Group, LLC manage?
Ethos Financial Group, LLC reports $2.1B in regulatory assets under management across 4,747 accounts, 89% of it on a discretionary basis, on its Form ADV filed August 12, 2026.
How many clients does Ethos Financial Group, LLC have?
It reports 1,709 individual clients: 382 high-net-worth individuals and 1,327 other individuals. Individuals account for about 77% of its regulatory assets.
Where is Ethos Financial Group, LLC headquartered?
Its main office is in King of Prussia, Pennsylvania. It reports 10 offices in total and 44 employees, 33 of whom perform investment advisory functions.
How does Ethos Financial Group, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees; performance-based fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Ethos Financial Group, LLC use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Citi. On Schedule D of its Form ADV filed August 12, 2026, it reports these amounts held: Charles Schwab ($1.7B); Citi ($229M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Ethos Financial Group, LLC a hybrid RIA with a broker-dealer?
Ethos Financial Group, LLC is a hybrid RIA: 6 of its employees are also registered representatives of a broker-dealer. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Ethos Financial Group, LLC a fiduciary?
As an SEC-registered investment adviser, Ethos Financial Group, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 6 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Ethos Financial Group, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-12), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →