TrueAdvisor
TrueAdvisor
ST
CFP
ST
CFP

Steven Toto

Ethos Capital Management, INC.
38 Years of Experience
Newtown, PA
2 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Steven Toto is a CFP-designated registered investment advisor at Ethos Capital Management, INC., based in Newtown, PA, with 38 years of industry experience. Steven operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Insurance Planning, and 3 more. Their firm serves 151 clients with $130M in assets under management.

Ethos Capital Management, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4 advisors
Number of Clients
151 clients
Average Client Portfolio
$855K average
Assets Under Management
$129.1M

Fee Structure

Minimum Investment:$750K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.25%
$1.0M - $2.0M1.15%
$2.0M - $3.0M1.05%
$3.0M - $5.0M0.95%
$5M+0.75%

Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

626 South State Street, Newtown, PA, 18940

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
July 2023
Final
Regulatory
November 2010
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Steven works as an insurance agent selling insurance through Ethos Capital Advisors, LLC, dedicating about a quarter of his time. He also works as an IAR providing advisory services through AE Wealth Management, LLC, spending a few hours per week.

Employment History
Current Registrations
Ethos Capital Management, INC.
May 2021 - Present · 5 yrs
Previous Registrations
Madison Avenue Securities, LLCBroker
February 2020 - May 2021 · 1 yr 3 mos
Ae Wealth Management, LLC
February 2018 - September 2021 · 3 yrs 7 mos
The Retirement Group, LLC
January 2018 - March 2018 · 2 mos
The Retirement Group, LLC
November 2011 - December 2017 · 6 yrs 1 mo
Fsc Securities CorporationBroker
November 2011 - February 2018 · 6 yrs 3 mos
LPL Financial LLCBroker
February 2011 - November 2011 · 9 mos
LPL Financial LLC
February 2011 - November 2011 · 9 mos
Qa3 Financial CORP.Broker
May 2007 - February 2011 · 3 yrs 9 mos
Qa3 Financial LLC
May 2007 - February 2011 · 3 yrs 9 mos
Ing Financial Partners, INC
September 2004 - May 2007 · 2 yrs 8 mos
Ing Financial Partners, INC.Broker
September 2004 - May 2007 · 2 yrs 8 mos
Esi Financial Advisors
November 2002 - September 2004 · 1 yr 10 mos
Equity Services, INC.Broker
September 2002 - September 2004 · 2 yrs
New England Securities Corporation
June 2002 - September 2002 · 3 mos
New England SecuritiesBroker
November 1996 - September 2002 · 5 yrs 10 mos
Summit Equities, INC.Broker
October 1994 - November 1996 · 2 yrs 1 mo
John Hancock Distributors, INC.Broker
May 1994 - November 1994 · 6 mos
John Hancock Mutual Life Insurance CompanyBroker
May 1994 - November 1994 · 6 mos
Guardian Investor Services CorporationBroker
June 1990 - April 1994 · 3 yrs 10 mos
John Hancock Distributors, INC.Broker
October 1988 - June 1990 · 1 yr 8 mos
John Hancock Mutual Life Insurance CompanyBroker
October 1988 - June 1990 · 1 yr 8 mos
Pruco Securities CorporationBroker
July 1987 - November 1988 · 1 yr 4 mos
State Registrations2 states
NJPA
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More financial advisors in Newtown, PA →All financial advisors in Pennsylvania →