Warren Capital Management, Inc.
- Regulatory AUM
- $131M
- Discretionary
- $125M
- Clients
- 188
- Avg AUM / client
- $697K
- Accounts
- 428
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Jun 11, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 114 | $17.1M | 13.0% |
| High net worth individuals | 67 | $51.0M | 38.9% |
| Investment companies | 1 | $57.0M | 43.5% |
| Pension and profit sharing plans | 4 | $5.7M | 4.33% |
| Corporations and other businesses | 2 | $243K | 0.19% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Ascensus Secure Retirement Pooled Employer Plan Newport Group, Inc. | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joseph Richard Warren | President; Ceo | Jul 2005 (21y) | 75% or more | |
| Parker Stelling Allen | Cco | Feb 2016 (10y) | Less than 5% | |
| Hector Enrique Molini | Registered representative | Aug 2018 (8y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Ascensus Secure Retirement Pooled Employer Plan | Newport Group, Inc. | 11,059 | $206M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/11/2026 | 901 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
Custody
Reported custodians
- Charles Schwab & Co. $87.9M (67% of AUM) Jun 2026
- Fidelity Brokerage Services $16.7M (16% of AUM) Apr 2021
- Ascensus Broker Dealer Services, Llc $2.8M (2% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 11, 2026.
View current Form ADV (SEC/IAPD) ↗