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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

CRD 226535

BRISTOL, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9a0f227e-e064-0a9e-74a3-43a2189d4d0d

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 10
On other graphs: 0
Observed: Nov 12, 2020 to Mar 31, 2026
29 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $694MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $694M
Private client RAUM: $694MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 29
RAUM per advisor: $23.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 27
Advisory employees: 27
Offices: 27Schedule D 1.F, beyond the principal office
Accounts: 1,879
Individual clients: 1,712
High net worth clients: 167
SEC number: 801-119964
CRD: 226535
Filings on the tape: 29
First filed: Nov 12, 2020
Latest filed: Mar 31, 2026
Organised: Corporation, CT

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 29

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOSEPH ELZIE GOSS	n/a	BRISTOL, CT	11	28	1	no
MATTHEW THOMAS SWEENEY	n/a	Southington, CT \| BRISTOL, CT	11	16	3	no
BRYAN J. RICCI	Certified Financial Planner	BRISTOL, CT \| Summverville, SC	11	27	n/a	no
DAVID LEE COWAN	n/a	NOTH HAVEN, CT \| BRISTOL, CT	10	40	n/a	no
Morgan Nichole Marx	Certified Financial Planner\|Chartered Financial Consultant	BRISTOL, CT \| Leander, TX	10	16	n/a	no
DEAN ANATRA	n/a	Madison, CT	10	30	n/a	no
WILLLIAM JOSEPH MCCLOSKEY	n/a	BRISTOL, CT \| Somers, CT	10	26	n/a	no
CHARLES PETER DUFOUR	n/a	Woodstock, CT \| BRISTOL, CT	9	32	n/a	no
RICHARD JOSEPH KNUDSEN	n/a	BRISTOL, CT \| Bethel, CT	9	30	n/a	no
Sondra Ilene Ziegler	n/a	BRISTOL, CT \| Lubbock, TX	8	18	n/a	no
Daphne Lynn Roberson	n/a	Burlington, CT \| BRISTOL, CT	8	18	n/a	no
BIANCA MICHELLE NOISEUX	n/a	BRISTOL, CT \| Palm Coast, FL	6	27	1	no
Mindy Nicole Gallina	n/a	BRISTOL, CT \| Hampstead, NC	4	21	n/a	no
STEVEN F MINNINGER	Certified Financial Planner	BRISTOL, CT \| Newport, RI	3	19	3	no
Talia Marie Cyr	n/a	Warren, RI \| BRISTOL, CT	2	12	n/a	no
JUSTIN KARL BOLMGREN	Certified Financial Planner	Milford, PA \| Chicago, IL \| BRISTOL, CT	2	22	4	no
CHRISTOPHER R. TORRES-GILBES	n/a	BRISTOL, CT \| Newnan, GA	2	13	1	no
John Michael Poitras	n/a	Somers, CT \| BRISTOL, CT	2	10	n/a	no
JON D. TANNER	n/a	BRISTOL, CT \| Highland, NY	2	37	1	no
Alexander F Rascionato	n/a	New Port Richey, FL \| BRISTOL, CT \| Tampa, FL	2	15	1	no
Jonathan D Leuchs	n/a	East Greenwich, RI \| BRISTOL, CT	2	10	4	no
EDWARD PETER YETSKO	Certified Financial Planner	Goshen, NY \| Vestal, NY \| BRISTOL, CT \| Binghamton, NY	1	38	3	no
Brianna Leah Sternkopf	n/a	BRISTOL, CT \| Goshen, NY \| Middletown, NY \| Binghamton, NY	1	10	2	no
MARK DANIEL LABLANCE	n/a	BRISTOL, CT \| Fort Myers, FL	1	29	5	no
Kimberly B Sparks	n/a	BRISTOL, CT \| Piedmont, SC	0	30	6	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BOLMGREN, JUSTIN, KARL	CHIEF OPERATIONS OFFICER	C	yes	03/2024	Mar 23, 2024	Sep 24, 2024
GOSS, JOSEPH, ELZIE	MANAGING PRINCIPAL	C	yes	04/2015	Nov 12, 2020	Sep 24, 2024
SWEENEY, MATTHEW, THOMAS	MANAGING DIRECTOR	C	yes	04/2015	Nov 12, 2020	Sep 24, 2024
COSTENBADER, WALTER, RUSSELL	CHIEF COMPLIANCE OFFICER	Na	no	04/2023	Jan 2, 2024	Sep 24, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ABACUS FINANCIAL ADVISORS, LLC	n/a	n/a	n/a	N	no	n/a
COLLIER SCOTT FINANCIAL SOLUTIONS, LLC	n/a	n/a	n/a	N	no	n/a
DEAN ANATRA, CPA, LLC	n/a	n/a	n/a	N	yes	n/a
DILEO & CHARLES TAX AND CONSULTING SERVICES, LLC	n/a	n/a	n/a	N	no	n/a
HEALTH INSURANCE QUOTE SERVICES, LLC	n/a	n/a	n/a	N	no	n/a
INTEGRITY MARKETING GROUP, LLC	n/a	n/a	n/a	N	no	n/a
JOSEPH E. GOSS, LTD	n/a	n/a	n/a	N	yes	n/a
LEGACY RETIREMENT GROUP, LLC	n/a	n/a	n/a	N	no	n/a
MINNINGER FINANCIAL SERVICES, LLC	n/a	n/a	n/a	N	no	n/a
NATHAN ZIEGLER & ASSOCIATES	n/a	n/a	n/a	N	no	n/a
RICCI AND CO. CPA'S AND CONSULTANTS, LLC	n/a	n/a	n/a	N	no	n/a
ROBERSON, TIERNEY & ASSOCIATES, LLC	n/a	n/a	n/a	N	no	n/a
SYNERGY INDEPENDENT FINANCIAL SOLUTIONS, LP	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Bethel	Ct	United States	1	no
Burlington	Ct	United States	1	no
NORTH HAVEN	Ct	United States	1	no
Somers	Ct	United States	1	no
Tampa	FL	United States	1	no
Chicago	IL	United States	1	no
Hampstead	Nc	United States	1	no
Newport	Ri	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$694M	$694M	27	27	27	n/a	n/a
2024	Mar 31, 2025	$465M	$465M	26	26	27	n/a	n/a
2023	Mar 23, 2024	$270M	$270M	19	19	19	n/a	n/a
2022	Mar 15, 2023	$201M	$201M	16	16	14	n/a	n/a
2021	Mar 29, 2022	$174M	$174M	15	14	5	n/a	n/a
2020	Mar 18, 2021	$114M	$114M	15	14	5	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
4	0	4	0.0%	0	0	0	12	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$694M	$465M	49.3%	$201M	51.1%	27	26	27	27

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OSAIC WEALTH, INC.	2	Nov 19, 2025	Nov 19, 2025	ROCHESTER, NY	Team lift out	Ibd to RIA	0.0%

Relationships

Registered with (31)

← ANTHONY SOLDANOAdvisorregistration: current employment
Sep 2, 2026 to presentfactForm ADV
← MICHAEL JOSEPH CHARLETONAdvisorregistration: current employment
Nov 19, 2025 to presentfactForm ADV
← ADAM THOMAS DRINKWATERAdvisorregistration: current employment
Nov 18, 2025 to presentfactForm ADV
← JAMES MICHAEL TUOHEYAdvisorregistration: current employment
Nov 5, 2025 to presentfactForm ADV
← Kimberly B SparksAdvisorregistration: current employment
Oct 22, 2025 to presentfactForm ADV
← MARK DANIEL LABLANCEAdvisorregistration: current employment
Dec 6, 2024 to presentfactForm ADV
← EDWARD PETER YETSKOAdvisorregistration: current employment
Nov 27, 2024 to presentfactForm ADV
← Brianna Leah SternkopfAdvisorregistration: current employment
Nov 27, 2024 to presentfactForm ADV
← Jonathan D LeuchsAdvisorregistration: current employment
Sep 6, 2024 to presentfactForm ADV
← Alexander F RascionatoAdvisorregistration: current employment
Aug 10, 2024 to presentfactForm ADV
← JON D. TANNERAdvisorregistration: current employment
Jul 2, 2024 to presentfactForm ADV
← John Michael PoitrasAdvisorregistration: current employment
Apr 29, 2024 to presentfactForm ADV
← CHRISTOPHER R. TORRES-GILBESAdvisorregistration: current employment
Jan 4, 2024 to presentfactForm ADV
← JUSTIN KARL BOLMGRENAdvisorregistration: current employment
Jan 2, 2024 to presentfactForm ADV
← Talia Marie CyrAdvisorregistration: current employment
Nov 13, 2023 to presentfactForm ADV
← STEVEN F MINNINGERAdvisorregistration: current employment
Oct 27, 2022 to presentfactForm ADV
← Mindy Nicole GallinaAdvisorregistration: current employment
Aug 12, 2022 to presentfactForm ADV
← BIANCA MICHELLE NOISEUXAdvisorregistration: current employment
Apr 14, 2020 to presentfactForm ADV
← Daphne Lynn RobersonAdvisorregistration: current employment
Jul 2, 2018 to presentfactForm ADV
← Sondra Ilene ZieglerAdvisorregistration: current employment
Mar 20, 2018 to presentfactForm ADV
← RICHARD JOSEPH KNUDSENAdvisorregistration: current employment
Aug 22, 2017 to presentfactForm ADV
← CHARLES PETER DUFOURAdvisorregistration: current employment
Mar 2, 2017 to presentfactForm ADV
← WILLLIAM JOSEPH MCCLOSKEYAdvisorregistration: current employment
Mar 14, 2016 to presentfactForm ADV
← DEAN ANATRAAdvisorregistration: current employment
Jan 28, 2016 to presentfactForm ADV
← Morgan Nichole MarxAdvisorregistration: current employment
Jan 27, 2016 to presentfactForm ADV
← DAVID LEE COWANAdvisorregistration: current employment
Oct 5, 2015 to presentfactForm ADV
← BRYAN J. RICCIAdvisorregistration: current employment
Aug 27, 2015 to presentfactForm ADV
← JOSEPH ELZIE GOSSAdvisorregistration: current employment
Jun 23, 2015 to presentfactForm ADV
← MATTHEW THOMAS SWEENEYAdvisorregistration: current employment
Jun 23, 2015 to presentfactForm ADV
← Michael Alan SchellingerAdvisorregistration: previous registration
Jan 19, 2018 to May 12, 2025factForm ADV
and 1 more

Moved with (1)

← OSAIC WEALTH, INC.Registered adviser2 advisors, team lift out, same day
Nov 19, 2025 to Nov 19, 2025factForm ADV

Owns (1)

← COSTENBADER, WALTER, RUSSELLOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 2, 2024 to Sep 24, 2024factForm ADV

Controls (3)

← BOLMGREN, JUSTIN, KARLOwnerCHIEF OPERATIONS OFFICER, ownership code C, individual
Mar 23, 2024 to Sep 24, 2024factForm ADV
← GOSS, JOSEPH, ELZIEOwnerMANAGING PRINCIPAL, ownership code C, individual
Nov 12, 2020 to Sep 24, 2024factForm ADV
← SWEENEY, MATTHEW, THOMASOwnerMANAGING DIRECTOR, ownership code C, individual
Nov 12, 2020 to Sep 24, 2024factForm ADV

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 31, 2026
Regulatory AUM changed
William Joseph Capital Management, Inc. reported RAUM $694.3M, up 49% from $465.1M (2025-08-28 to 2026-03-31)
Form ADVobserved 4 days ago
$229M
Occurred
Nov 19, 2025
Team lift-out
2 advisors left Osaic Wealth, Inc. (Rochester, NY) for William Joseph Capital Management, Inc. on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
May 12, 2025
Advisor changed firm
Michael Alan Schellinger left William Joseph Capital Management, Inc. for Synergy Wealth Management (registered 2025-08-19)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2025
Regulatory AUM changed
William Joseph Capital Management, Inc. reported RAUM $465.1M, up 72% from $270.2M (2024-09-24 to 2025-03-31)
Form ADVobserved 4 days ago
$195M
Occurred
Mar 23, 2024
Control person joined
Karl Justin Bolmgren (Chief Operations Officer) appeared on Schedule A of William Joseph Capital Management, Inc.
Form ADVobserved 4 days ago
Occurred
Jan 2, 2024
Succession filed (Item 4)
William Joseph Capital Management,Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago
Occurred
Nov 12, 2020
First Form ADV filing
William Joseph Capital Management,Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Show 3 bookkeeping events

Occurred
Mar 31, 2025
William Joseph Capital Management, Inc. reported 27 offices beyond its principal office, up from 21 (2024-09-24 to 2025-03-31)
Occurred
Jan 2, 2024
William Joseph Capital Management, Inc. reported 19 offices beyond its principal office, up from 14 (2023-04-24 to 2024-01-02)
Occurred
Oct 26, 2022
William Joseph Capital Management, Inc. reported 12 offices beyond its principal office, up from 5 (2022-03-31 to 2022-10-26)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a0f227e-e064-0a9e-74a3-43a2189d4d0d
First observed: Nov 12, 2020
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

CRD 226535

BRISTOL, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9a0f227e-e064-0a9e-74a3-43a2189d4d0d

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:43 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOSEPH ELZIE GOSS

n/a

BRISTOL, CT

MATTHEW THOMAS SWEENEY

n/a

Southington, CT | BRISTOL, CT

BRYAN J. RICCI

Certified Financial Planner

BRISTOL, CT | Summverville, SC

n/a

DAVID LEE COWAN

n/a

NOTH HAVEN, CT | BRISTOL, CT

n/a

Morgan Nichole Marx

Certified Financial Planner|Chartered Financial Consultant

BRISTOL, CT | Leander, TX

n/a

DEAN ANATRA

n/a

Madison, CT

n/a

WILLLIAM JOSEPH MCCLOSKEY

n/a

BRISTOL, CT | Somers, CT

n/a

CHARLES PETER DUFOUR

n/a

Woodstock, CT | BRISTOL, CT

n/a

RICHARD JOSEPH KNUDSEN

n/a

BRISTOL, CT | Bethel, CT

n/a

Sondra Ilene Ziegler

n/a

BRISTOL, CT | Lubbock, TX

n/a

Daphne Lynn Roberson

n/a

Burlington, CT | BRISTOL, CT

n/a

BIANCA MICHELLE NOISEUX

n/a

BRISTOL, CT | Palm Coast, FL

Mindy Nicole Gallina

n/a

BRISTOL, CT | Hampstead, NC

n/a

STEVEN F MINNINGER

Certified Financial Planner

BRISTOL, CT | Newport, RI

Talia Marie Cyr

n/a

Warren, RI | BRISTOL, CT

n/a

JUSTIN KARL BOLMGREN

Certified Financial Planner

Milford, PA | Chicago, IL | BRISTOL, CT

CHRISTOPHER R. TORRES-GILBES

n/a

BRISTOL, CT | Newnan, GA

John Michael Poitras

n/a

Somers, CT | BRISTOL, CT

n/a

JON D. TANNER

n/a

BRISTOL, CT | Highland, NY

Alexander F Rascionato

n/a

New Port Richey, FL | BRISTOL, CT | Tampa, FL

Jonathan D Leuchs

n/a

East Greenwich, RI | BRISTOL, CT

EDWARD PETER YETSKO

Certified Financial Planner

Goshen, NY | Vestal, NY | BRISTOL, CT | Binghamton, NY

Brianna Leah Sternkopf

n/a

BRISTOL, CT | Goshen, NY | Middletown, NY | Binghamton, NY

MARK DANIEL LABLANCE

n/a

BRISTOL, CT | Fort Myers, FL

Kimberly B Sparks

n/a

BRISTOL, CT | Piedmont, SC

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOLMGREN, JUSTIN, KARL

CHIEF OPERATIONS OFFICER

yes

03/2024

Mar 23, 2024

Sep 24, 2024

GOSS, JOSEPH, ELZIE

MANAGING PRINCIPAL

yes

04/2015

Nov 12, 2020

Sep 24, 2024

SWEENEY, MATTHEW, THOMAS

MANAGING DIRECTOR

yes

04/2015

Nov 12, 2020

Sep 24, 2024

COSTENBADER, WALTER, RUSSELL

CHIEF COMPLIANCE OFFICER

04/2023

Jan 2, 2024

Sep 24, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ABACUS FINANCIAL ADVISORS, LLC

n/a

COLLIER SCOTT FINANCIAL SOLUTIONS, LLC

n/a

DEAN ANATRA, CPA, LLC

n/a

yes

n/a

DILEO & CHARLES TAX AND CONSULTING SERVICES, LLC

n/a

HEALTH INSURANCE QUOTE SERVICES, LLC

n/a

INTEGRITY MARKETING GROUP, LLC

n/a

JOSEPH E. GOSS, LTD

n/a

yes

n/a

LEGACY RETIREMENT GROUP, LLC

n/a

MINNINGER FINANCIAL SERVICES, LLC

n/a

NATHAN ZIEGLER & ASSOCIATES

n/a

RICCI AND CO. CPA'S AND CONSULTANTS, LLC

n/a

ROBERSON, TIERNEY & ASSOCIATES, LLC

n/a

SYNERGY INDEPENDENT FINANCIAL SOLUTIONS, LP

n/a

City

State

Country

Employees

Also broker-dealer

Bethel

United States

Burlington

United States

NORTH HAVEN

United States

Somers

United States

Tampa

United States

Chicago

United States

Hampstead

United States

Newport

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$694M

n/a

2024

Mar 31, 2025

$465M

n/a

2023

Mar 23, 2024

$270M

n/a

2022

Mar 15, 2023

$201M

n/a

2021

Mar 29, 2022

$174M

n/a

2020

Mar 18, 2021

$114M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$694M

$465M

49.3%

$201M

51.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OSAIC WEALTH, INC.

Nov 19, 2025

ROCHESTER, NY

Team lift out

Ibd to RIA

0.0%