State-registered independent wealth management RIA
Ethos Capital Group, LLC
As of its Form ADV filed March 26, 2026, Ethos Capital Group, LLC, a state-registered independent wealth management RIA in Little Rock, Arkansas, reported $77.6 million in regulatory assets under management across 341 accounts, ranking #48 among independent RIAs in Arkansas by assets.
Registration
- Main office
- Little Rock, AR
- Registration
- State-registered, Approved
- CRD number
- 149579
- SEC file number
- None (state-registered)
- Registered since
- April 5, 2012
- Latest Form ADV filing
- March 26, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $77.6 million
- Discretionary
- $77.6 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 341 (341 discretionary)
- Clients
- 131, approximate as reported
- Employees
- 3
- Advisory staff
- 2 performing investment advisory functions
- Average account
- $227,524
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $51.4 million |
| October 3, 2011 | $60.5 million |
| October 7, 2026 | $77.6 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 41 clients | $57.3 million | |
| Individuals (other than high net worth) 87 clients | $19.8 million | |
| Insurance companies fewer than 5 clients | $457,339 | |
| Pension and profit sharing plans fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
Financial planning clients (Item 5.H): 1-10.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 2
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 2
Designations held by the firm's IARs: CFP 2.
2 of the firm's 2 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
Our source has no Form ADV Item 11 detail for this firm. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Arkansas
| Firm | City | RAUM |
|---|---|---|
| Heritage Asset Managers, Inc. | Little Rock | $83.4 million |
| Caprock Wealth Management | Little Rock | $83.3 million |
| Sylamore Investments LLC | Mountain View | $81.7 million |
| Garland and Greenwood Wealth Advisors LLC | Roland | $76.5 million |
| White McGowan | Little Rock | $75.0 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Ethos Capital Group, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.ethoscapitalgroup.com
- Independent RIAs in Arkansas
Firm data as of October 7, 2026, from IA_FIRM_STATE_Feed_10_07_2026.xml.gz. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 7, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.