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 organized as an LLC and registered with the SEC in 2002. The firm serves both individual/family clients and institutional investors, positioning itself as a fee-based wealth manager that charges asset-based fees and can assess performance-based fees on select mandates. Its advisory scope includes financial planning and portfolio management for individuals and small businesses, and the firm also engages in insurance brokerage and other financial product sales. Westend is not an active ESG investor and is not classified as a capital allocator in the FINTRX data.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
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 3
Gustave Ozag
Chief Financial Planning OfficerCRD 1142854
George Bolton
CIOCRD 1423421
George Elliman
Chief Compliance Officer / Chief Financial OfficerCRD 6108313
Contacts
1 of 1
Jacey West
Client Services & Operations ManagerCRD 6877243
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 74Active vs passive
$6.5M in ETFs
70%
$4.5M
27%
$1.9M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| SPDR S&P 500 ETF TRUST (SPY) | State Street | Passive | Large Blend | $1.6M | 2,189 | 25.30% |
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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