Santa Monica, CA Office

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.