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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

WESTSIDE INVESTMENT MANAGEMENT, LLC

CRD 154522

SANTA MONICA, CA

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:9ecf31ad-bb88-8f3b-a4f9-a793845e9b82

Data as of Feb 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 7
On other graphs: 0
Observed: Dec 21, 2011 to Feb 27, 2026
32 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=0.86 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=7.0
Regulatory AUM: $889MItem 5.F on the latest filing (2026-02-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $889M
Private client RAUM: $762MderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $127Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 14
Advisory employees: 7
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 755
Individual clients: 474
High net worth clients: 365
SEC number: 801-71762
CIK: 1538383
CRD: 154522
Filings on the tape: 32
First filed: Dec 21, 2011
Latest filed: Feb 27, 2026
Organised: Limited Liability Company, CA
Website: westsideim.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
MARK LEONARD COHEN	n/a	SANTA MONICA, CA	16	35	3	yes
DAVID TODD CLARK	n/a	OKLAHOMA CITY, OK	16	34	1	yes
JAMES MICHAEL FRAWLEY	Chartered Financial Consultant	SANTA MONICA, CA	16	29	1	yes
VETEA JONATHAN RIBET	n/a	KAHULUI, HI \| SANTA MONICA, CA	16	22	n/a	yes
SKY BRENT RYLANT	n/a	OKLAHOMA CITY, OK \| SANTA MONICA, CA	13	21	1	yes
NOAH A CORNISH	n/a	SANTA MONICA, CA \| OKLAHOMA CITY, OK	12	33	2	yes
SIENNA PUALANI YOSHIDA	n/a	KAHULUI, HI \| SANTA MONICA, CA	12	27	3	yes

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
CLARK, DAVID, TODD	Shareholder	E	yes	02/2022	Dec 21, 2011	Mar 23, 2024
DTC INVESTMENT MANAGEMENT INC.	Member	D	yes	02/2022	Apr 11, 2022	Mar 23, 2024
FRAWLEY CAPITAL MANAGEMENT, INC.	Member	D	yes	02/2022	Apr 11, 2022	Mar 23, 2024
FRAWLEY, JAMES, MICHAEL	Shareholder	E	yes	02/2022	Dec 21, 2011	Mar 23, 2024
FRAWLEY, JAMES, MICHAEL	CHIEF COMPLIANCE OFFICER	Na	yes	06/2010	Dec 21, 2011	Mar 23, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Wailuku	Hi	United States	3	no
OKLAHOMA CITY	Ok	United States	3	no

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
2025	Feb 27, 2026	$889M	$889M	14	7	2	n/a	n/a
2024	Apr 25, 2025	$774M	$774M	17	8	2	n/a	n/a
2023	Mar 22, 2024	$659M	$659M	15	8	2	n/a	n/a
2022	Apr 20, 2023	$512M	$512M	12	8	2	n/a	n/a
2021	Jun 3, 2022	$521M	$521M	14	9	2	n/a	n/a
2020	Feb 12, 2021	$716M	$716M	8	8	2	n/a	n/a
2019	Mar 9, 2020	$627M	$627M	8	8	2	n/a	n/a
2018	Mar 11, 2019	$439M	$439M	8	8	2	n/a	n/a
2017	Mar 28, 2018	$427M	$427M	17	10	2	n/a	n/a
2016	Mar 30, 2017	$360M	$360M	15	9	n/a	n/a	n/a
2015	Mar 3, 2016	$286M	$286M	16	9	n/a	n/a	n/a
2014	Feb 23, 2015	$324M	$324M	7	2	n/a	n/a	n/a
2013	Mar 27, 2014	$251M	$251M	6	1	n/a	n/a	n/a
2012	Jan 4, 2013	$185M	$185M	4	0	n/a	n/a	n/a
2011	Dec 21, 2011	$140M	$140M	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
2025	$889M	$774M	14.8%	$512M	20.2%	14	17	2	2

Relationships

Registered with (10)

← SIENNA PUALANI YOSHIDAAdvisorregistration: current employment
Jan 24, 2014 to presentfactForm ADV
← NOAH A CORNISHAdvisorregistration: current employment
Jan 16, 2014 to presentfactForm ADV
← SKY BRENT RYLANTAdvisorregistration: current employment
Oct 15, 2012 to presentfactForm ADV
← MARK LEONARD COHENAdvisorregistration: current employment
Aug 31, 2010 to presentfactForm ADV
← DAVID TODD CLARKAdvisorregistration: current employment
Aug 31, 2010 to presentfactForm ADV
← JAMES MICHAEL FRAWLEYAdvisorregistration: current employment
Aug 31, 2010 to presentfactForm ADV
← VETEA JONATHAN RIBETAdvisorregistration: current employment
Aug 31, 2010 to presentfactForm ADV
← Derek SaboAdvisorregistration: previous registration
May 12, 2022 to Aug 26, 2022factForm ADV
← ADAM PIERSON SCOTTAdvisorregistration: previous registration
Aug 31, 2010 to Dec 31, 2019factForm ADV
← SUSAN E PENNEYAdvisorregistration: previous registration
Apr 12, 2011 to Dec 6, 2012factForm ADV

Controls (4)

← CLARK, DAVID, TODDOwnerSHAREHOLDER, ownership code E, individual
Dec 21, 2011 to Mar 23, 2024factForm ADV
← FRAWLEY, JAMES, MICHAELOwnerSHAREHOLDER, ownership code E, individual
Dec 21, 2011 to Mar 23, 2024factForm ADV
← DTC INVESTMENT MANAGEMENT INC.OwnerMEMBER, ownership code D, domestic entity
Apr 11, 2022 to Mar 23, 2024factForm ADV
← FRAWLEY CAPITAL MANAGEMENT, INC.OwnerMEMBER, ownership code D, domestic entity
Apr 11, 2022 to Mar 23, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 22, 2024
Regulatory AUM changed
Westside Investment Management, Llc reported RAUM $659.4M, up 29% from $511.5M (2023-04-28 to 2024-03-22)
Form ADVobserved 5 days ago
$148M
Occurred
Aug 26, 2022
Advisor changed firm
Derek Sabo left Westside Investment Management, Llc for J.P. Morgan Securities Llc (registered 2023-01-24)
Form ADVobserved 5 days ago
Occurred
Jun 3, 2022
Regulatory AUM changed
Westside Investment Management, Llc reported RAUM $520.8M, down 27% from $716.2M (2022-04-11 to 2022-06-03)
Form ADVobserved 5 days ago
$-195M
Occurred
Apr 11, 2022
Succession filed (Item 4)
Westside Investment Management, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
Mar 9, 2020
Regulatory AUM changed
Westside Investment Management, Llc reported RAUM $626.9M, up 43% from $439.2M (2019-11-26 to 2020-03-09)
Form ADVobserved 5 days ago
$188M
Occurred
Mar 11, 2019
Control person left
Atienza Cecilia Sibley (Compliance Officer) no longer on Schedule A of Westside Investment Management, Llc (listed 2018-03-28, absent 2019-03-11)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Mar 11, 2019
Westside Investment Management, Llc reported 0 state-registered advisory representatives, down from 10 (2018-03-28 to 2019-03-11)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ecf31ad-bb88-8f3b-a4f9-a793845e9b82
First observed: Dec 21, 2011
Last observed: Feb 27, 2026 6 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.

WESTSIDE INVESTMENT MANAGEMENT, LLC

CRD 154522

SANTA MONICA, CA

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:9ecf31ad-bb88-8f3b-a4f9-a793845e9b82

Data as of Feb 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:27 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MARK LEONARD COHEN

n/a

SANTA MONICA, CA

yes

DAVID TODD CLARK

n/a

OKLAHOMA CITY, OK

yes

JAMES MICHAEL FRAWLEY

Chartered Financial Consultant

SANTA MONICA, CA

yes

VETEA JONATHAN RIBET

n/a

KAHULUI, HI | SANTA MONICA, CA

n/a

yes

SKY BRENT RYLANT

n/a

OKLAHOMA CITY, OK | SANTA MONICA, CA

yes

NOAH A CORNISH

n/a

SANTA MONICA, CA | OKLAHOMA CITY, OK

yes

SIENNA PUALANI YOSHIDA

n/a

KAHULUI, HI | SANTA MONICA, CA

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CLARK, DAVID, TODD

Shareholder

yes

02/2022

Dec 21, 2011

Mar 23, 2024

DTC INVESTMENT MANAGEMENT INC.

Member

yes

02/2022

Apr 11, 2022

Mar 23, 2024

FRAWLEY CAPITAL MANAGEMENT, INC.

Member

yes

02/2022

Apr 11, 2022

Mar 23, 2024

FRAWLEY, JAMES, MICHAEL

Shareholder

yes

02/2022

Dec 21, 2011

Mar 23, 2024

FRAWLEY, JAMES, MICHAEL

CHIEF COMPLIANCE OFFICER

yes

06/2010

Dec 21, 2011

Mar 23, 2024

City

State

Country

Employees

Also broker-dealer

Wailuku

United States

OKLAHOMA CITY

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 27, 2026

$889M

n/a

2024

Apr 25, 2025

$774M

n/a

2023

Mar 22, 2024

$659M

n/a

2022

Apr 20, 2023

$512M

n/a

2021

Jun 3, 2022

$521M

n/a

2020

Feb 12, 2021

$716M

n/a

2019

Mar 9, 2020

$627M

n/a

2018

Mar 11, 2019

$439M

n/a

2017

Mar 28, 2018

$427M

n/a

2016

Mar 30, 2017

$360M

n/a

2015

Mar 3, 2016

$286M

n/a

2014

Feb 23, 2015

$324M

n/a

2013

Mar 27, 2014

$251M

n/a

2012

Jan 4, 2013

$185M

n/a

2011

Dec 21, 2011

$140M

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

2025

$889M

$774M

14.8%

$512M

20.2%