SourcingSourcing

WESTEND ADVISORS, LLC

C31
CRD 133279·SEC 801-63626·CHARLOTTE, NC
AUM
$1.87B
$1B+
Est. Revenue
$18.7M
@ 1% on AUM
Est. EBITDA
$5.6M
@ 30% margin
Est. Deal Value
$44.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WESTEND ADVISORS, LLC
CRD
133279
SEC file #
801-63626
EIN
260070474
DBA names
—

Economics

AUM
$1.87B
AUM band
$1B+
AUM trajectory
'20'26
$587.0M → $1.87B▲ +218%
Client mix
Individuals Other3,791
Individuals High Net Worth259
Corporations63
Charitable Organizations30
Pension Profit Sharing Plans5

Operations

Employees (total)
29
Advisory staff (per ADV)
7
Advisory staff (5-yr trend)
'20'26
7 advisors → 7 advisors▬ 0%
Primary office
CHARLOTTE NC
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businessesOther Advisory Services
Fee basis
% of AUM

Filings

Latest ADV filing
01/30/2026
ADV-W filed at
—
Website
linkedin.com/company/westend-advisors(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
VICTORY CAPITAL HOLDINGS, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
9
Control Persons
VICTORY CAPITAL HOLDINGS, LLC
COX, JAMES, WALTER
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:westend.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
20
Form 5500 Total Compensation
567,431
Form 5500 Compensation Trajectory 3y
2025529,768
202637,663
Form 5500 Plan Count Trajectory 3y
202518
20262
Schedule C Total Compensation
567,431
Schedule C Service Provider Rows
20

SEC EDGAR

Edgar Cik
0001766904
Edgar Registered
Yes
Edgar Filing Count
30
Edgar First Filing Date
2019-02-06
Edgar Last Filing Date
2026-04-29
Edgar 13f Count
28
Edgar 13f Latest AUM Estimate
Filing Date2026-04-29
Accession0001766904-26-000002
Edgar Former Names
CARY STREET PARTNER INVESTMENT ADVISORY LLC

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
11
Bc Firm Active IA Count
18
Bc Firm IAR Count
18
Custodian Candidates
Full
E*trade4
Wells Fargo2
Morgan Stanley2
Edgar Addresses
Mailing
901 EAST BYRD STREETSUITE 1001RICHMOND, VA 23219
Business
901 EAST BYRD STREETSUITE 1001RICHMOND, VA 23219
Edgar EIN
260070474
Edgar Recent Filings
13F-HR2026-04-29 · 0001766904-26-000002
13F-HR2026-02-09 · 0001766904-26-000001
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (20)

20
PEEBLES, MARION, WOOTEN
IAR · Executive Officer · 2.5%
7064877
PORTER, FREDERICK, O.
IAR · Executive Officer · 2.5%
5191359
DURDEN, EDMUND, NELSON
IAR · Executive Officer · 2.5%
5273589
COX, JAMES, WALTER
IAR · Executive Officer · 2.5%
3025567
LEIBOWITZ, JASON, MICHAEL
IAR · Executive Officer · 2.5%
4551201
GUPTA, NINA
Executive Officer · 2.5%
6401011
POLICARPO, MICHAEL, DENNIS
Executive Officer · 2.5%
4316912
JENNIFER MARIE FRIEDLAND
IAR
4887431
ANNA F BROWN
IAR
2904287
SETH LELDON KNIGHT
IAR
6244162
DANIEL TOWNSEND PORTER
IAR
6462946
Natale Joseph Monastra
IAR
7850970
Cade Joseph Vela
IAR
7850973
STEPHEN HUNTER ROME
IAR
6633957
JOHN CHARLES CARLSON
IAR
6094984
Luke Rutledge
IAR
6505011
PETER NICHOLAS TORTORICI
IAR
3252606
Jesse Richard Boles
IAR
5432744
JOSEPH NICHOLAS DAGOSTINO
IAR
1288016
Brian William Bzik
IAR
6760966