WESTEND CAPITAL MANAGEMENT, LLC. of SAUSALITO, CA is an SEC-registered investment adviser (CRD 120545). Regulatory assets under management: $436.2M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| George Brown Bolton | CHIEF INVESTMENT OFFICER; MANAGING MEMBER | El Segundo, CA |
| George Elliman | MEMBER, CHIEF FINANCIAL OFFICER, DIRECTOR OF BUSINESS DEVELOPMENT AND CHIEF COMPLIANCE OFFICER | Austin, TX |
| Gustave Robert Ozag | MEMBER, CHIEF FINANCIAL PLANNING OFFICER | — |
| COOPER SEAN CHARLES | MEMBER; MEMBER/CHIEF COMPLIANCE OFFICER; MEMBER/CHIEF OPERATING OFFICER (+2 more) | — |
| OZAG GUSTAVE ROBERT | CEO; MEMBER; MEMBER, CHIEF FINANCIAL PLANNING OFFICER | — |
| BOLTON GEORGE BROWN | CHIEF INVESTMENT OFFICER; MANAGING MEMBER; MEMBER (+2 more) | — |
| BOLTON CHARLES SG | CHIEF EXECUTIVE OFFICER; MEMBER | — |
| BOLTON CHARLES STEDMAN GARLAND | MEMBER | — |
| COOPER SEAN C | MEMBER | — |
| ELLIMAN GEORGE | CHIEF FINANCIAL OFFICER, DIRECTOR OF BUSINESS DEVELOPMENT; MEMBER, CHIEF FINANCIAL OFFICER, DIRECTOR OF BUSINESS DEVELOPMENT; MEMBER, CHIEF FINANCIAL OFFICER, DIRECTOR OF BUSINESS DEVELOPMENT AND CHIEF COMPLIANCE OFFICER | — |
| PAPESH GABRIELLA | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, MANAGER OF OPERATIONS | — |
| HARDY CHRISTEN LEAH | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-09-17 | regulatory | ON 9/17/14, THE SEC ISSUED AN ORDER ACCEPTING AN OFFER OF SETTLEMENT FROM WCM. WITHOUT ADMITTING OR DENYING THE FINDINGS, WCM CONSENTED TO THE ENTRY OF AN ORDER THAT IT VIOLATED SECTIONS 204, AND 206(4) OF THE ADVISERS ACT AND RULES 204-2(A)(1), (2), (6) (7)(II), AND 206(4)-7 WHICH RELATE TO THE DUT… | Final | $150K |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| WESTEND PARTNERS, L.P. | Hedge Fund | California | 23 | $1.1M | $500K |