Westend Capital Management, LLC.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$426,860,000
Clients
323
Advisors
3
across 3 offices
About
WestEnd Capital Management provides discretionary portfolio management to accredited investors through a privately offered pooled vehicle and to individuals and trusts through separately managed accounts. The firm also offers optional financial planning services to separate account clients at no additional charge.
Its private fund pursues a long/short, opportunistic equity strategy and may employ hedging, margin, derivatives and repurchase transactions; separate account clients may choose among core growth, equity income, or custom mandates, with WestEnd implementing portfolios on a discretionary basis. WestEnd uses different fee arrangements for the private fund versus separate accounts and maintains written policies to address potential conflicts that arise from managing both types of accounts.
Notable features include WestEnd’s role as general partner and custodian of its private fund and the firm’s use of securities borrowing and leverage (including short sales and margin) across its strategies, as well as the distribution of audited fund financial statements. The brochure also discloses a prior SEC order addressing recordkeeping, supervision and fee-calculation issues, and describes personal trading and valuation practices for illiquid securities that are governed by a formal Code of Ethics.
Client services
Expertise
Occupation focus
Fee options
$0+: 0.375% quarterly (1.5% annually) Management Fee for Private Fund $10,000+: 0.375% Asset Based Fee for Separate Accounts
20% of profits exceeding unrecouped losses for Private Fund, assessed annually
Account minimum: $500,000 Fee-only: 0.375% annually for Separate Accounts (paid quarterly in arrears)
Main office
See officeOne Harbor Drive, Suite 300
Sausalito CA 94965
Advisors at this office
1
Offices (3)
Most active in
California · Florida · Louisiana · New Mexico · New York · Texas
Also doing business as
Westend Capital LLC · Westend Capital Management, LLC.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Advisors at this firm
Jacey W
Series 66
Sausalito, CA
Westend Capital Management, LLC.
Jacey West is a financial advisor at Westend Capital Management, LLC. with six years of industry experience. She holds a Series 66 designation and previously worked at Charles Schwab Bank, Charles Schwab, and Cornerstone Retirement Group, Inc. Westend Capital Management provides discretionary portfolio management to accredited investors through a privately offered pooled vehicle and serves individuals and trusts with separately managed accounts, offering optional financial planning services at no additional charge. The firm employs a long/short, opportunistic equity strategy in its private fund and offers core growth, equity income, or custom mandate portfolios for separate account clients.
Gustave O
CFP®, ChFC®, Series 63
San Rafael, CA
Westend Capital Management, LLC.
Gustave Ozag is a Certified Financial Planner® (CFP®) and Chartered Financial Consultant® (ChFC®) with 17 years of industry experience. He has been with WestEnd Capital Management, LLC since 2002 and also works as an independent insurance agent with Financial Systems, offering life, health, and disability insurance. He serves as WestEnd's Chief Financial Planning Officer. WestEnd Capital Management provides discretionary portfolio management to accredited investors, individuals, and trusts through a private fund and separately managed accounts. The firm employs a long/short, opportunistic equity strategy with the use of hedging, leverage, and derivatives, offering tailored investment mandates and optional financial planning services.
George B
Series 63
Santa Monica, CA
Westend Capital Management, LLC.
George Bolton is a financial advisor at Westend Capital Management, LLC., holding a Series 63 designation with 17 years of industry experience. He has been with Westend Capital Management since 2004. Outside of his advisory role, he is the CEO of George Bolton Horses, a company involved in thoroughbred horse racing, breeding, and sales. Westend Capital Management serves individual and trust clients through separately managed accounts and a private pooled vehicle for accredited investors. The firm employs fundamental and technical research along with active portfolio management across multiple mandates, including long/short and hedging strategies.
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