Form ADV Summary — Services, Fees & Adviser Credentials
Based on Form ADV dated June 16, 2026 · Last updated July 28, 2026
A plain-language summary of ClearMind Capital LLC's Form ADV — our advisory services, exact fee schedules, and the credentials and background of our advisers. This page reflects our official Form ADV Part 2A and 2B; the authoritative filings are available on the SEC's Investment Adviser Public Disclosure (IAPD) website and from our Disclosures page.
Firm at a glance
| Legal name | ClearMind Capital LLC (“CMC”) |
| Entity type | Ohio limited liability company, founded December 2024 |
| Registration | Registered investment adviser with the State of Ohio |
| Firm CRD number | 334362 |
| Compensation model | Fee-only — no commissions, no third-party compensation |
| Standard of care | Fiduciary at all times |
| Custodian | Altruist Financial LLC (unaffiliated; member FINRA/SIPC) |
| Headquarters | Columbus, Ohio — serving clients nationwide |
| Chief Compliance Officer | Nicholas George |
Advisory services
ClearMind Capital provides financial planning and investment advisory services to individuals and families, and retirement plan advisory services to employers. Our services fall into four engagement types:
Investment Management
Continuous, discretionary management of client accounts based on each client's individual goals, time horizon, and risk tolerance. We primarily advise on stocks, bonds, mutual funds, ETFs, U.S. government and municipal securities, and cash. Accounts are held at Altruist. Where appropriate, we may use third-party “Outside Managers.”
Ongoing Financial Planning (Advice-Only)
Comprehensive, ongoing financial planning delivered on a non-discretionary basis without investment management. We develop, monitor, and update a plan; the client retains responsibility for implementing recommendations.
Integrative Wealth Planning (Initial Comprehensive Engagement)
An initial comprehensive planning engagement, typically delivered over about twelve months, covering areas such as retirement planning, cash-flow analysis, investment analysis, tax-planning coordination, risk management, and estate-planning considerations. Investment management may be added under a separate agreement.
Workplace Retirement Plan Advisory
Consulting and advisory services for employers that sponsor 401(k) and other defined-contribution plans — including plan governance support, investment-menu oversight, fee benchmarking, plan-design consulting, vendor evaluation, and participant education. CMC can serve as an ERISA §3(38) investment manager; its default role is Retirement Plan Advisor and Governance Consultant. CMC receives no compensation from recordkeepers, fund companies, or other plan service providers.
Advisory fees
All fees are negotiable and are set out in each client's written advisory agreement. The schedules below are the firm's standard fees. ClearMind Capital does not charge performance-based fees.
Investment Management — asset-based fee
Charged on a tiered, blended schedule (each rate applies to the assets within its tier) and billed monthly in advance based on account value at the end of the prior month.
| Assets under management | Annual advisory fee |
|---|---|
| First $1,000,000 | 1.25% |
| $1,000,001 – $2,000,000 | 1.00% |
| $2,000,001 – $5,000,000 | 0.75% |
| $5,000,001 and above | 0.35% |
Account minimum. ClearMind Capital generally works with clients who have at least $120,000 in investable assets. For relationships below that level, a minimum annual advisory fee of $1,200 may apply. Any minimum that applies is disclosed in the client's advisory agreement. Accounts of members of the same household may be aggregated when determining the fee.
If an Outside Manager is used, that manager's fee is separate and is not included above; the combined fee charged to the client will never exceed 2% of assets under management.
Ongoing Financial Planning (Advice-Only) — fixed monthly fee
A recurring fixed fee, paid monthly in advance, generally ranging from $100 to $1,200 per month, depending on the scope of services and the complexity of the client's situation. CMC does not require prepayment of $500 or more more than six months in advance.
Integrative Wealth Planning — fixed fee
A fixed fee, generally ranging from $3,000 to $10,000 for the engagement, depending on scope and complexity. Fees may be paid in advance or over the course of the engagement.
Workplace Retirement Plan Advisory — asset-based fee
Charged on a progressive (marginal) schedule — each rate applies only to the portion of plan assets within that tier — and billed quarterly in arrears.
| Plan assets | Annual advisory fee |
|---|---|
| First $1,000,000 | 0.85% |
| $1,000,001 – $3,000,000 | 0.65% |
| $3,000,001 – $7,500,000 | 0.50% |
| $7,500,001 – $15,000,000 | 0.40% |
| $15,000,001 – $25,000,000 | 0.35% |
| $25,000,001 and above | 0.25% |
Service tier overlay. Depending on the level of engagement the plan sponsor selects, an overlay fee may apply in addition to the base schedule above. The overlay applies only to the first $10,000,000 of plan assets: Tier A (Core) — no overlay; Tier B (Enhanced) — additional 0.15%; Tier C (Strategic) — additional 0.30%.
Other fees, and termination
Our advisory fees are exclusive of, and in addition to, third-party costs such as custodial and brokerage fees, transaction charges, and the internal expenses of mutual funds and ETFs. ClearMind Capital receives no portion of those charges. Investment management agreements may be terminated with 15 calendar days' written notice (with a prorated refund of unearned fees); advice-only planning with 15 days' notice; and workplace retirement plan agreements with 30 days' notice.
Our team
Each adviser's record — including registrations, employment history, and any disciplinary events — can be verified on the SEC's IAPD website using the CRD numbers below.
Nicholas George — Owner & Chief Compliance Officer
| Designations | CFP®, ChFC®, CLU®, IWA™ |
| Individual CRD | 7195246 |
| Education | BBA, Finance, Ohio University (2018) |
| Experience | ClearMind Capital LLC, Owner & CCO (2024–present); Northwestern Mutual, Registered Representative (2022–2024); LPL Financial, Financial Advisor (2021–2022); Cetera Investment Services, Financial Advisor (2019–2021) |
| Disciplinary history | None |
Shane Duckworth — Partner & Wealth Advisor
| Designations | None |
| Individual CRD | 7357204 |
| Education | B.S., Accounting & Finance, Ohio Dominican University (2019) |
| Experience | ClearMind Capital LLC, Partner & Wealth Advisor (2025–present); Northwestern Mutual, Registered Representative (2022–2025); JPMorgan Securities LLC, Senior Service Investment Specialist (2021) |
| Other business activity | Manages a family-owned business (laundromats and tanning salons) in Canal Winchester, Ohio — not investment-related and not a conflict of interest |
| Disciplinary history | None |
Austin Wolfe — Director of Retirement Plan Services
| Designations | None |
| Individual CRD | 8083108 |
| Education | B.S., Criminal Justice, Michigan State University (2017) |
| Experience | ClearMind Capital LLC, Director of Retirement Plan Services (2026–present); J.P. Morgan Institutional Investments, Registered Representative (2025–2026); U.S. Army (2018–present) |
| Other business activity | Serves as a U.S. Army Reserve officer — not investment-related and not a conflict of interest |
| Disciplinary history | None |
Professional designations explained
CFP® (Certified Financial Planner™) — issued by the Certified Financial Planner Board of Standards, Inc. Requires a bachelor's degree plus CFP Board–approved coursework, passing the comprehensive CFP® examination, thousands of hours of relevant experience, agreement to CFP Board's Code of Ethics and fiduciary standard, and 30 hours of continuing education every two years.
ChFC® (Chartered Financial Consultant) — issued by The American College. Requires at least three years of relevant full-time experience, seven required courses (financial, insurance, retirement, and estate planning; income taxation; investments; and applied planning) plus electives, each with a proctored exam, and ongoing continuing education.
CLU® (Chartered Life Underwriter) — issued by The American College. Requires at least three years of relevant full-time experience and a series of courses covering insurance planning, estate planning, business planning, income taxation, group benefits, retirement, and investments, each with a proctored exam and ongoing continuing education.
IWA™ (Integrative Wealth Advisor) — a designation focused on aligning financial planning with a client's life goals, values, and overall well-being.
Fee-only, fiduciary, and conflicts of interest
ClearMind Capital is a fee-only fiduciary. Our only compensation comes from the fees our clients pay us directly; we accept no commissions, sales charges, or compensation from fund companies, recordkeepers, or other third parties for recommending products or services. We are legally obligated to act in each client's best interest and to disclose any material conflicts of interest. ClearMind Capital does not take custody of client funds (assets are held at Altruist) and does not vote client proxies.
Verify our filings
- Firm record (Form ADV Part 1, 2A & 2B): adviserinfo.sec.gov/firm/summary/334362 — CRD# 334362
- Nicholas George: CRD# 7195246
- Shane Duckworth: CRD# 7357204
- Austin Wolfe: CRD# 8083108
Disclosures
This page is provided for informational purposes only and is a summary of ClearMind Capital LLC's Form ADV. It does not constitute investment, tax, or legal advice, an offer, or a solicitation, and it is not a substitute for the complete Form ADV Part 2A and 2B, which control in the event of any inconsistency. ClearMind Capital LLC is a registered investment adviser; registration does not imply a certain level of skill or training. Advisory services are offered only where ClearMind Capital and its representatives are properly registered or exempt from registration. All fees are negotiable and are governed by each client's written advisory agreement. Investing involves risk, including possible loss of principal, and past performance is not indicative of future results.
The CFP Board owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, and CFP® (with plaque design) in the United States, which it authorizes use of by individuals who successfully complete its initial and ongoing certification requirements.
For questions about our regulatory filings or disclosures, contact Nicholas George, Chief Compliance Officer, at (614) 254-5501 or info@clearmind-capital.com.
