# ETHOS CAPITAL MANAGEMENT, INC.

ETHOS CAPITAL MANAGEMENT, INC. of NEWTOWN, PA is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 313145
- Type: SEC-registered investment adviser
- SEC file number: 801-132170
- Location: 626 SOUTH STATE STREET, NEWTOWN, PA, 18940
- Phone: 215-968-1820
- Latest filing: 2026-04-16
- Regulatory AUM: $155.4M
- Discretionary AUM: $155.4M
- Clients: 4
- Accounts: 463

## Business model

- Compensation: % of AUM, Hourly
- Clients served: Individuals, High net worth, Charities

## Officers, owners & control persons (2)

| Name | Role | Location |
| --- | --- | --- |
| Steven Joseph Toto | PRESIDENT/CCO | — |
| Noreen Harriette Toto | MEMBER | — |


## Disclosures (14)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2023-07-12 | regulatory | IT IS ALLEGED THAT ETHOS CAPITAL MANAGEMENT AND STEVEN TOTO VIOLATED 10 PA CODE SECTION 305.019(C)(3)(VIII) AND 10 PA CODE SECTION 305.019(C)(3)(XVI) FROM JUNE 2021 TO JUNE 2022 BY IMPOSING FEES INCONSISTENT WITH ITS INVESTMENT ADVISORY AGREEMENTS ON 9 INVESTMENT ADVISORY ACCOUNTS. | Pending | — |
| 2023-07-12 | regulatory | ON MARCH 10, 2025, STEVEN TOTO, WITHOUT ADMITTING FAULT, AGREED TO RESOLVE ALLEGATIONS WITH THE COMMONWEALTH OF PENNSYLVANIA, ACTING THROUGH THE DEPARTMENT OF BANKING AND SECURITIES, BUREAU OF SECURITIES COMPLIANCE AND EXAMINATIONS THAT HE FAILED TO MAKE AND MAINTAIN WRITTEN PROCEDURES RELATING TO T… | Pending | — |
| 2023-07-12 | regulatory | ON MARCH 10, 2025, STEVEN TOTO, WITHOUT ADMITTING FAULT, AGREED TO RESOLVE ALLEGATIONS WITH THE COMMONWEALTH OF PENNSYLVANIA, ACTING THROUGH THE DEPARTMENT OF BANKING AND SECURITIES, BUREAU OF SECURITIES COMPLIANCE AND EXAMINATIONS THAT HE FAILED TO MAKE AND MAINTAIN WRITTEN PROCEDURES RELATING TO T… | Final | $35K |
| 2023-07-12 | regulatory | DURING A ROUTINE ANNUAL AUDIT BY THE PENNSYLVANIA DEPARTMENT OF BANKING AND SECURITIES (PDBS), IT WAS DISCOVERED THAT OUR FEE AGREEMENT CONTAINED A CLERICAL ERROR. WHILE WE HAD BEEN BILLING CLIENTS ACCORDING TO A TIERED BILLING SCHEDULE, THE LANGUAGE IN OUR DOCUMENTATION INSTEAD DESCRIBED A BREAKPOI… | Final | $35K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/313145/brochure
- Similar advisers: https://search.stillhousedata.com/firm/313145/similar
- Related entities: https://search.stillhousedata.com/firm/313145/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/313145

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.