WESTEND CAPITAL MANAGEMENT, LLC.
Firm details
- Headquarters
- SAUSALITO, California
- CRD number
- 120545
- Registered since
- May 10, 2002
- Website
- www.wcmsf.com
- Custodians
- CHARLES SCHWAB & CO., INC., EQUITY TRUST ADVISORS, INC.
- Fee structure
- Percentage of AUM, Performance Based Fees
- Client types
- HNWI84.39%
- Individuals13.47%
- Pension & Profit Sharing Plans1.42%
- Charitable Organizations0.48%
- Pooled Investment Vehicles0.24%
- Services
- Financial PlanningPortfolio Management for Individuals
Firm profile
FINTRXOverview
Westend Capital Management, LLC is an independent registered investment adviser formed as an LLC and SEC-registered since 2002. The firm serves a mix of individual and family clients alongside institutional relationships, focusing on financial planning and discretionary portfolio management for individuals and small businesses. Its client billing mixes a percentage-of-AUM schedule with performance-based fees, and the firm also conducts insurance brokerage and other financial product sales alongside advisory work. Westend reports a preference for equities as its primary asset class and does not position itself as an active ESG investor or as a multi-state adviser.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities97%
- Public Funds/Mutual Funds3%
- Cash & Cash Equivalents1%
Owners & executives
3 of 3GUSTAVE OZAG
Chief Financial Planning OfficerCRD 1142854
GEORGE BOLTON
CIOCRD 1423421
GEORGE ELLIMAN
Chief Compliance Officer / Chief Financial OfficerCRD 6108313
Contacts
1 of 1JACEY WEST
Client Services & Operations ManagerCRD 6877243
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 69Active vs passive
$5M in ETFs
61%
$3M
39%
$2M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| YIELDMAX(R) NVDA OPTION INCOME STRATEGY ETF (NVDY) | YieldMax | Active | Derivative Income | $622K | 47,888 | 12.48% |
Location
SAUSALITO, CA
MARIN
Location
SAUSALITO, CA
Headquartered in SAUSALITO, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.
- Metro area
- San Jose-San Francisco-Oakland, CA
- Region
- West
- County
- MARIN
- Address
- 1 Harbor Dr
- Time zone
- PT (UTC-8)
- Office locations
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