SEC-Registered Investment Adviser
Westend Capital Management, LLC.
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated March 18, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- May 10, 2002
- Principal office
- One Harbor Drive, Suite 300, Sausalito, CA 94965
- Organized as
- Limited Liability Company, CA
- Fiscal year end
- December
- Website
- HTTPS://WWW.WCMSF.COM
Scale
- Regulatory AUM
- $436.2M
- Discretionary / non-discretionary
- $431.6M / $4.7M
- Accounts
- 470
- Clients
- 0
- Employees
- 5, 3 in advisory roles
- Private funds advised
- 1
- Private fund gross assets
- $1.1M
- Fund types
- 1 hedge funds
- Funds with Form D records
- 1 issuer in AltStreet's ledger, $27.1M reported sold across them
- Client assets in custody
- $6.7M (1 clients)
Business, clients and compensation, as filed
- Advisory activities
- financial planning and portfolio management for individuals and small businesses
- Compensated by
- a percentage of assets under management and performance-based fees
- Client types
- individuals (other than high net worth) (166); high net worth individuals (157); pooled investment vehicles (1); pension and profit sharing plans (4); charitable organizations (3)
- Also engaged as
- insurance broker or agent and other financial product salesperson
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- SEC or CFTC finding of a false statement or omission (Item 11C(1))
- SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2))
- SEC or CFTC order against the firm or an affiliate (Item 11C(4))
- SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5))
- other regulator finding of a false statement or omission (Item 11D(1))
- other regulator finding of a violation (Item 11D(2))
Is this your firm? Verified Profiles give managers a structured channel for corrections, additional disclosures, and right of reply, without changing AltStreet's independent research. Learn about verification →
Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.