Witter & Westlake Investments
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Witter & Westlake Investments provides discretionary portfolio management and wealth management programs for individual and high-net-worth clients, alongside a range of institutional and tax-advantaged accounts. The firm delivers program-based management that primarily uses mutual funds and ETFs, with custody and trading conducted through custodians such as Interactive Brokers and ProFunds.
The firm applies a daily mean reversion strategy across its programs—buying on down days and trimming on up days—and implements short index futures hedges in taxable accounts, maintaining a dynamic S&P 500 hedge targeted to average about 50% (ranging roughly 20–80%). In IRA programs it selects mutual and sector funds (including leveraged sector funds) and manages risk by combining negatively correlated positions, holding cash, and using the same daily mean-reversion trading, which results in frequent trading and account review.
Noteworthy distinctions include a disclosed regulatory resolution: an August 2021 Agreed Order with the State of Kentucky addressing audit and recordkeeping deficiencies, misleading website statements, and a failure to file a corrective Form U4 amendment (a fine was paid and the firm makes the order available on request). The firm is small in scale—two principals, 22 clients and about $12.7 million in discretionary AUM—and its combination of daily mean reversion, regular futures hedging in taxable accounts, and use of leveraged sector funds in IRAs is atypical among peers.
Client services
Expertise
Fee options
$0 - $75,000: 1% annual fee, billed quarterly $75,000 - $750,000: 0.75% annual fee, billed quarterly $750,000 - > $750,000: 0.5% annual fee, billed quarterly $250,000 - $2,500,000: 0.6% annual fee, billed quarterly $2,500,000 - $5,000,000: 0.4% annual fee, billed quarterly $5,000,000+: 0.25% annual fee, billed quarterly $0+: 0.125% (1/8%) per calendar quarter (0.5% annually) for Fixed Income Securities, minimum investment $1,000,000 (currently not accepting new clients)
Fee-only: Fees are asset-based as detailed; no commissions or other fee types indicated.
Main office
Eagle Harbor MI
Advisors at this office
2
Most active in
Michigan
Also doing business as
Witter & Westlake Investments · Witter & Westlake Investments, Inc.
Disclosures
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Business activities & affiliations
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
Advisors at this firm
Rodney W
Series 65
Eagle Harbor, MI
Witter & Westlake Investments
Rodney Westlake is a financial advisor at Witter & Westlake Investments with 20 years of industry experience. He holds a Series 65 designation and has been with the firm since 2005. Witter & Westlake Investments is a small, owner-operated advisory practice managing approximately $11.6 million in assets primarily for individual and high-net-worth clients. The firm provides discretionary portfolio management with direct owner involvement and informal mutual oversight.
Lon W
Series 63
Eagle Harbor, MI
Witter & Westlake Investments
Lon Witter is a financial advisor at Witter & Westlake Investments with 38 years of industry experience. He has been with the firm since 2005 and holds a Series 63 designation. Witter & Westlake Investments is a small, owner-operated advisory practice managing approximately $11.6 million in assets primarily for individual and high-net-worth clients. The firm emphasizes discretionary portfolio management and operates with informal mutual oversight between its two principals.
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