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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

WESTCHESTER CAPITAL MANAGEMENT INC

CRD 110961

OMAHA, NE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:57fd74e5-baf8-030f-353a-72d71ed34654

Data as of Sep 23, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Sep 23, 2025
31 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.9 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $556MItem 5.F on the latest filing (2025-09-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $556M
Private client RAUM: $502MderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $185Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 657
Individual clients: 247
High net worth clients: 198
Custody, client assets: $9.3M
SEC number: 801-28498
CRD: 110961
Filings on the tape: 31
First filed: Mar 30, 2012
Latest filed: Sep 23, 2025
Organised: Corporation, NE
Website: westchestercapital.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
CINDY LOU CHRISTENSEN	n/a	OMAHA, NE	31	31	n/a	no
DONNA CHARLOTTE ERICKSON-NELSON	n/a	OMAHA, NE	28	28	n/a	no
Maximilian Wilhelm Vogt	Chartered Financial Analyst	OMAHA, NE	9	10	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CHRISTENSEN, CINDY, LOU	PRESIDENT AND CHIEF EXECUTIVE OFFICER	E	yes	02/2016	Mar 30, 2012	Sep 27, 2024
ERICKSON-NELSON, DONNA, CHARLOTTE	CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER	Na	yes	09/2019	Sep 27, 2019	Sep 27, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Sep 27, 2024	$503M	$503M	9	3	0	n/a	n/a
2023	Sep 21, 2023	$452M	$452M	8	3	0	n/a	n/a
2022	Sep 22, 2022	$427M	$427M	8	3	0	n/a	n/a
2021	Sep 26, 2021	$432M	$432M	8	3	0	n/a	n/a
2020	Sep 29, 2020	$358M	$358M	8	3	0	n/a	n/a
2019	Sep 27, 2019	$336M	$336M	7	3	0	n/a	n/a
2018	Sep 28, 2018	$319M	$319M	7	3	0	n/a	n/a
2017	Sep 28, 2017	$289M	$289M	5	4	n/a	n/a	n/a
2016	Sep 28, 2016	$270M	$270M	5	4	n/a	n/a	n/a
2015	Sep 28, 2015	$272M	$272M	8	4	n/a	n/a	n/a
2014	Sep 26, 2014	$276M	$276M	8	4	n/a	n/a	n/a
2013	Sep 25, 2013	$241M	$241M	8	4	n/a	n/a	n/a
2012	Sep 28, 2012	$226M	$226M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$556M	$452M	23.0%	$432M	8.8%	7	8	0	0

Relationships

Registered with (3)

← Maximilian Wilhelm VogtAdvisorregistration: current employment
Dec 20, 2016 to presentfactForm ADV
← DONNA CHARLOTTE ERICKSON-NELSONAdvisorregistration: current employment
Feb 5, 1998 to presentfactForm ADV
← CINDY LOU CHRISTENSENAdvisorregistration: current employment
Feb 2, 1995 to presentfactForm ADV

Controls (2)

← CHRISTENSEN, CINDY, LOUOwnerPRESIDENT AND CHIEF EXECUTIVE OFFICER, ownership code E, individual
Mar 30, 2012 to Sep 27, 2024factForm ADV
← ERICKSON-NELSON, DONNA, CHARLOTTEOwnerCHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER, ownership code NA, individual
Sep 27, 2019 to Sep 27, 2024factForm ADV

Dated events

Occurred
Sep 27, 2019
Control person joined
Charlotte Donna Erickson-Nelson (Chief Compliance Officer, Executive Vice President And Chief Operating Officer) appeared on Schedule A of Westchester Capital Management Inc
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:57fd74e5-baf8-030f-353a-72d71ed34654
First observed: Mar 30, 2012
Last observed: Sep 23, 2025 12 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

WESTCHESTER CAPITAL MANAGEMENT INC

CRD 110961

OMAHA, NE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:57fd74e5-baf8-030f-353a-72d71ed34654

Data as of Sep 23, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:18 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CINDY LOU CHRISTENSEN

n/a

OMAHA, NE

n/a

DONNA CHARLOTTE ERICKSON-NELSON

n/a

OMAHA, NE

n/a

Maximilian Wilhelm Vogt

Chartered Financial Analyst

OMAHA, NE

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHRISTENSEN, CINDY, LOU

PRESIDENT AND CHIEF EXECUTIVE OFFICER

yes

02/2016

Mar 30, 2012

Sep 27, 2024

ERICKSON-NELSON, DONNA, CHARLOTTE

CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER

yes

09/2019

Sep 27, 2019

Sep 27, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Sep 27, 2024

$503M

n/a

2023

Sep 21, 2023

$452M

n/a

2022

Sep 22, 2022

$427M

n/a

2021

Sep 26, 2021

$432M

n/a

2020

Sep 29, 2020

$358M

n/a

2019

Sep 27, 2019

$336M

n/a

2018

Sep 28, 2018

$319M

n/a

2017

Sep 28, 2017

$289M

n/a

2016

Sep 28, 2016

$270M

n/a

2015

Sep 28, 2015

$272M

n/a

2014

Sep 26, 2014

$276M

n/a

2013

Sep 25, 2013

$241M

n/a

2012

Sep 28, 2012

$226M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$556M

$452M

23.0%

$432M

8.8%