Data / Investment advisers / California / Westend Capital Management, LLC.
Westend Capital Management, LLC., Sausalito, CA: $436 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Westend Capital Management, LLC. is an SEC registered investment adviser with its main office in Sausalito, California and reports $436 million in regulatory assets under management in its Form ADV filed March 18, 2026. Its clients include high net worth individuals, individuals and pension and profit sharing plans. It is paid through a percentage of assets under management and performance based fees. It advises 1 private fund.
The request: Watch Westend Capital Management, LLC. (CRD number 120545): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 120545
- SEC file number
- 801-61128
- SEC status
- Approved, effective May 10, 2002
- Main office
- One Harbor Drive Suite 300, Sausalito, CA 94965
- Phone
- (415) 856-0426
- Website
- wcmsf.com
- Regulatory AUM
- $436,222,715 in the Form ADV filed March 18, 2026
- Discretionary AUM
- $431,551,953
- Non discretionary AUM
- $4,670,762
- Accounts
- 470
- Employees
- 5, of which 3 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, performance based fees
- Private funds
- 1: 1 hedge fund
- Gross assets of private funds
- $1,062,715
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions, other federal, state or foreign regulatory actions
- Latest Form ADV filing
- March 18, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 157 | $368.1 million |
| Individuals (other than high net worth individuals) | 166 | $58.8 million |
| Pension and profit sharing plans | 4 | $6.2 million |
| Charitable organizations | 3 | $2.1 million |
| Pooled investment vehicles | 1 | $1.1 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $436.2 million | March 18, 2026 |
| February 2, 2026 | $435.2 million | January 27, 2026 |
| December 1, 2025 | $348.1 million | April 8, 2025 |
Other advisers in Sausalito
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Aperio Group, LLC | Sausalito | $152.13 billion | Not listed | adviserinfo.sec.gov |
| Revelation Capital Management, LLC | Sausalito | $2.32 billion | 7 | adviserinfo.sec.gov |
| Caldwell Sutter Capital, Inc. | Sausalito | $605.7 million | Not listed | adviserinfo.sec.gov |
| Vert Asset Management LLC | Sausalito | $464.4 million | Not listed | adviserinfo.sec.gov |
| Delta Accumulation, LLC | Sausalito | $332.1 million | 3 | adviserinfo.sec.gov |
| Prospect Capital Advisors, LLC | Sausalito | $309.4 million | 2 | adviserinfo.sec.gov |
| Verity Wealth Advisors, LLC | Sausalito | $278.5 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Sausalito, CA
- Investment advisers in California
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Advisers that manage private funds
- Westend Capital Management, LLC. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.