← Directory
WESTEND ADVISORS, LLC
CRD 133279File 801-63626
APPROVED
Retail clients
Filing as of Jan 30, 2026
Feed vintage Sep 30, 2026
Regulatory AUM
$1.87B
Top 25% of cohort (national)
Discretionary AUM
$1.87B
Clients
4,149
4,149 accounts
Employees
29
Top 25% of cohort in NC
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Mar 18, 2005
- Principal office
- 1001 MOREHEAD SQUARE DRIVE, SUITE 600, CHARLOTTE, NC, 28203
- Phone
- 704-556-9300
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.87B
- Discretionary AUM
- $1.87B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 4,149
- Non-discretionary accounts
- 0
- Total accounts
- 4,149
- AUM per client
- $450K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 63 | $92.9M |
| Charitable organizations | 30 | $32.4M |
| High net worth individuals | 259 | $406.1M |
| Pension and profit sharing plans | 5 | $6.8M |
| State or municipal government entities | 1 | $1.1M |
| Individuals (other than high net worth individuals) | 3,791 | $1.33B |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Feb 1, 2026 | Employees | 28 | 29 | increased by1 |
| Feb 1, 2026 | Clients | 4,002 | 4,149 | increased by147 |
| Feb 1, 2026 | AUM | $1,699,961,169 | $1,868,015,699 | increased by$168,054,530 |
| Feb 1, 2026 | Accounts | 4,002 | 4,149 | increased by147 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 26 | 28 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 3,030 | 4,002 | increased by972 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,560,823,204 | $1,699,961,169 | increased by$139,137,965 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 3,030 | 4,002 | increased by972 |
| Feb 1, 2022 | Employees | 23 | 26 | increased by3 |
| Feb 1, 2022 | Clients | 1,716 | 3,030 | increased by1,314 |
| Feb 1, 2022 | AUM | $992,912,117 | $1,560,823,204 | increased by$567,911,087 |
| Feb 1, 2022 | Accounts | 1,716 | 3,030 | increased by1,314 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “WESTEND ADVISORS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“WESTEND ADVISORS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.