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Berthy Capital Management, LLC (West Carrollton)


Berthy Capital Management, LLC is a large advisory firm based in West Carrollton. It manages $30.86 million of regulatory assets for 53 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Florida, Indiana, Ohio, and Washington.

Berthy Capital Management provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Berthy Capital Management: assets under management

The assets under management (AUM) of Berthy Capital Management, LLC is $30.86 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 13% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $30.86 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $582.21 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Berthy Capital Management, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Richard John Berthy Owner 1 Aug 2002 75% - 100% 1341368
Leslie Charles Berthy Owner 1 Aug 2002 75% - 100% 1565599
Carl Anthony Bright Owner 1 Mar 2004 75% - 100% 1567545
John Douglas Berthy Owner 1 Jan 2005 75% - 100% 4200851

Based in West Carrollton

The principal office where Berthy Capital Management, LLC performs its advisory services is located at 100 Elmwood Park Drive, West Carrollton, OH 45449, which is also the mailing address of the firm. An additional office of the firm is in Redmond, WA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 937-439-1339 EXT 307 or by fax 513-672-9400. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday.


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