W
Westerfield Investment Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
Westerfield Investment Management is a state-registered investment adviser that provides discretionary portfolio management primarily for individual and high‑net‑worth clients across a range of securities, including exchange‑listed and over‑the‑counter equities, foreign issues, exchange‑traded funds, bonds, and option contracts. The firm does not participate in wrap fee programs.
The firm describes a bottoms‑up fundamental research process that looks at financial condition, earnings outlook, management, industry position and valuation, with technical, quantitative pattern analysis used as a limited supplement. It generally manages accounts on a discretionary basis and states it does not tailor advisory services to individual client‑imposed investment restrictions; clients receive account statements directly from custodians and the firm does not provide separate written account reports.
Notable operational features include a small, owner‑operated structure with a single principal handling reviews, no custody of client funds, and an explicit policy that the firm will not vote client securities (leaving proxy decisions to clients). The brochure also discloses no performance‑based fees, no other financial industry affiliations, and availability of a code of ethics upon request.
Client services
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Fee options
1% of assets under management, charged quarterly
Main office location
Westerfield Investment Management
Boca Raton FL, United States
Number of offices
1
Most active in
Westerfield Investment Management has reported serving >5 clients in these states in the last 12 months.
Florida
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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