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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

WESTEND ADVISORS, LLC

CRD 133279

CHARLOTTE, NC

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:d5e725f1-34a5-8275-86d3-6cbbeec7dcc5

Data as of Jan 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 38
Dated events: 11
On other graphs: 0
Observed: Nov 15, 2011 to Jan 30, 2026
41 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=0.93 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=13.0 bank_owner=false
Regulatory AUM: $1.9BItem 5.F on the latest filing (2026-01-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.9B
Private client RAUM: $1.7BderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 18
RAUM per advisor: $104Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 29
Advisory employees: 7
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 4,149
Individual clients: 3,791
High net worth clients: 259
SEC number: 801-63626
CIK: 1351731
CRD: 133279
Filings on the tape: 41
First filed: Nov 15, 2011
Latest filed: Jan 30, 2026
Organised: Limited Liability Company, NC

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
EDMUND NELSON DURDEN	n/a	CHARLOTTE, NC	19	19	n/a	no
ANNA F BROWN	n/a	CHARLOTTE, NC	18	28	1	no
FREDERICK O. PORTER	Chartered Financial Analyst	CHARLOTTE, NC	18	20	n/a	no
JENNIFER MARIE FRIEDLAND	n/a	CHARLOTTE, NC	15	17	1	no
JOSEPH NICHOLAS DAGOSTINO	n/a	CHARLOTTE, NC	8	42	4	no
MARION WOOTEN PEEBLES	Chartered Financial Analyst	CHARLOTTE, NC	7	12	n/a	no
JAMES WALTER COX	n/a	CHARLOTTE, NC	4	27	3	no
JASON MICHAEL LEIBOWITZ	n/a	Pinecrest, FL \| CHARLOTTE, NC	4	22	3	no
JOHN CHARLES CARLSON	n/a	CHARLOTTE, NC \| Essex Fells, NJ	4	14	1	yes
SETH LELDON KNIGHT	n/a	CHARLOTTE, NC	4	12	2	yes
DANIEL TOWNSEND PORTER	n/a	CHARLOTTE, NC \| Chicago, IL	4	11	2	yes
STEPHEN HUNTER ROME	n/a	CHARLOTTE, NC \| Dallas, TX	4	10	1	yes
Brian William Bzik	n/a	Jupiter, FL \| CHARLOTTE, NC	4	11	1	yes
Luke Rutledge	n/a	Santa Monica, CA \| CHARLOTTE, NC	3	10	1	yes
PETER NICHOLAS TORTORICI	n/a	CHARLOTTE, NC \| Port Washington, NY	3	23	2	yes
Natale Joseph Monastra	n/a	CHARLOTTE, NC	2	10	n/a	yes
Cade Joseph Vela	n/a	CHARLOTTE, NC	2	12	n/a	yes
Trevor William Deubner	n/a	CHARLOTTE, NC	0	10	2	yes
Grace Dawn Klopstad	n/a	CHARLOTTE, NC	0	14	1	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
COX, JAMES, WALTER	CHIEF COMPLIANCE OFFICER	Na	yes	06/2020	Jan 30, 2026	Jan 30, 2026
DURDEN, EDMUND, NELSON	CHIEF INVESTMENT STRATEGIST	Na	yes	12/2006	Jan 30, 2026	Jan 30, 2026
GUPTA, NINA	Secretary	Na	yes	07/2016	Jan 30, 2026	Jan 30, 2026
LEIBOWITZ, JASON, MICHAEL	MANAGING PARTNER	Na	yes	07/2023	Jan 30, 2026	Jan 30, 2026
PEEBLES, MARION, WOOTEN	CO-CHIEF INVESTMENT OFFICER	Na	yes	08/2025	Jan 30, 2026	Jan 30, 2026
POLICARPO, MICHAEL, DENNIS	CHIEF ADMINISTRATIVE OFFICER	Na	yes	08/2013	Jan 30, 2026	Jan 30, 2026
PORTER, FREDERICK, O.	CO-CHIEF INVESTMENT OFFICER PARTNER	Na	yes	09/2019	Jan 30, 2026	Jan 30, 2026
HUNT, GRAHAM K	MANAGING PARTNER	Na	yes	07/2015	Mar 22, 2018	Jun 3, 2024
VICTORY CAPITAL HOLDINGS, LLC	Shareholder	E	yes	12/2021	Jan 27, 2022	Jun 3, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
VICTORY CAPITAL MANAGEMENT INC.	n/a	Asset manager	$283B	N	yes	n/a
VICTORY CAPITAL SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a

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	Jan 30, 2026	$1.9B	$1.9B	29	7	0	n/a	n/a
2024	Jan 30, 2025	$1.7B	$1.7B	28	7	0	n/a	n/a
2023	Jan 30, 2024	$1.5B	$1.5B	29	7	0	n/a	n/a
2022	Feb 14, 2023	$1.2B	$1.2B	28	7	0	n/a	n/a
2021	Jan 27, 2022	$1.6B	$1.6B	26	6	0	n/a	n/a
2020	Mar 23, 2021	$993M	$993M	23	5	0	n/a	n/a
2019	Jan 30, 2020	$813M	$813M	23	7	0	n/a	n/a
2018	Jan 31, 2019	$587M	$587M	19	7	0	n/a	n/a
2017	Mar 22, 2018	$776M	$776M	19	7	0	n/a	n/a
2016	Jan 30, 2017	$978M	$978M	18	6	n/a	n/a	n/a
2015	Jan 29, 2016	$2.0B	$2.0B	17	6	n/a	n/a	n/a
2014	Mar 10, 2015	$2.1B	$2.1B	17	7	n/a	n/a	n/a
2013	Mar 4, 2014	$2.8B	$2.8B	15	7	n/a	n/a	n/a
2012	Jan 29, 2013	$2.8B	$2.8B	16	7	n/a	n/a	n/a
2011	Feb 6, 2012	$2.1B	$2.0B	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
2	0	2	0.0%	2	0	0	2	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	$1.9B	$1.7B	9.9%	$1.2B	15.8%	29	28	0	0

Relationships

Affiliated with (2)

← VICTORY CAPITAL MANAGEMENT INC.Registered adviserother investment adviser, common control
factForm ADV
→ VICTORY CAPITAL MANAGEMENT INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Registered with (21)

← Trevor William DeubnerAdvisorregistration: current employment
Jul 14, 2026 to presentfactForm ADV
← Cade Joseph VelaAdvisorregistration: current employment
Mar 4, 2024 to presentfactForm ADV
← Natale Joseph MonastraAdvisorregistration: current employment
Jan 30, 2024 to presentfactForm ADV
← PETER NICHOLAS TORTORICIAdvisorregistration: current employment
Dec 13, 2022 to presentfactForm ADV
← Luke RutledgeAdvisorregistration: current employment
Nov 14, 2022 to presentfactForm ADV
← JASON MICHAEL LEIBOWITZAdvisorregistration: previous registration
Oct 29, 2015 to Feb 1, 2022factForm ADV
← JOHN CHARLES CARLSONAdvisorregistration: previous registration
Oct 25, 2018 to Feb 1, 2022factForm ADV
← SETH LELDON KNIGHTAdvisorregistration: previous registration
Jul 28, 2016 to Feb 1, 2022factForm ADV
← DANIEL TOWNSEND PORTERAdvisorregistration: previous registration
Jun 27, 2019 to Feb 1, 2022factForm ADV
← STEPHEN HUNTER ROMEAdvisorregistration: previous registration
Apr 10, 2018 to Feb 1, 2022factForm ADV
← Brian William BzikAdvisorregistration: previous registration
Aug 16, 2019 to Feb 1, 2022factForm ADV
← JAMES WALTER COXAdvisorregistration: previous registration
Feb 11, 2020 to Feb 1, 2022factForm ADV
← MARION WOOTEN PEEBLESAdvisorregistration: current employment
Jan 28, 2019 to presentfactForm ADV
← JOSEPH NICHOLAS DAGOSTINOAdvisorregistration: current employment
Feb 15, 2018 to presentfactForm ADV
← JENNIFER MARIE FRIEDLANDAdvisorregistration: current employment
Jan 26, 2011 to presentfactForm ADV
← FREDERICK O. PORTERAdvisorregistration: current employment
Aug 19, 2008 to presentfactForm ADV
← ANNA F BROWNAdvisorregistration: current employment
May 28, 2008 to presentfactForm ADV
← EDMUND NELSON DURDENAdvisorregistration: current employment
Apr 30, 2007 to presentfactForm ADV
← WILLIAM FREDERICK GRIFFINAdvisorregistration: previous registration
Jun 17, 2015 to May 20, 2019factForm ADV
← Stephen Gaylord HalleyAdvisorregistration: previous registration
Jul 28, 2016 to Sep 6, 2017factForm ADV
← JACK DANIEL STEINHILBERAdvisorregistration: previous registration
Nov 30, 2006 to Jan 24, 2007factForm ADV

Controls (8)

← COX, JAMES, WALTEROwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 18, 2020 to Jun 3, 2024factForm ADV
← POLICARPO, MICHAEL, DENNISOwnerCHIEF ADMINISTRATIVE OFFICER, ownership code NA, individual
Jan 27, 2022 to Jun 3, 2024factForm ADV
← LEIBOWITZ, JASON, MICHAELOwnerMANAGING PARTNER, ownership code NA, individual
Jan 30, 2020 to Jun 3, 2024factForm ADV
← PORTER, FREDERICK, O.OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Nov 15, 2011 to Jun 3, 2024factForm ADV
← DURDEN, EDMUND, NELSONOwnerCHIEF INVESTMENT STRATEGIST, ownership code NA, individual
Nov 15, 2011 to Jun 3, 2024factForm ADV
← GUPTA, NINAOwnerSECRETARY, ownership code NA, individual
Jan 27, 2022 to Jun 3, 2024factForm ADV
← HUNT, GRAHAM KOwnerMANAGING PARTNER, ownership code NA, individual
Mar 22, 2018 to Jun 3, 2024factForm ADV
← VICTORY CAPITAL HOLDINGS, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Jan 27, 2022 to Jun 3, 2024factForm ADV

Dated events

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

Occurred
Jan 30, 2024
Control person left
William Michael Goldman (Managing Partner) no longer on Schedule A of Westend Advisors, Llc (listed 2023-07-14, absent 2024-01-30)
Form ADVobserved 5 days ago
Occurred
Jul 14, 2023
Control person joined
Michael Jason Leibowitz (Head Of Business Development/Managing Partner) appeared on Schedule A of Westend Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Jan 27, 2022
Regulatory AUM changed
Westend Advisors, Llc reported RAUM $1.6B, up 57% from $992.9M (2021-08-02 to 2022-01-27)
Form ADVobserved 5 days ago
$568M
Occurred
Jan 27, 2022
Control person joined
Dennis Michael Policarpo (Chief Administrative Officer) appeared on Schedule A of Westend Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Jan 27, 2022
Control person joined
Nina Gupta (Secretary) appeared on Schedule A of Westend Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Jun 18, 2020
Control person left
Elaine Shannon Hull (Chief Compliance Officer) no longer on Schedule A of Westend Advisors, Llc (listed 2020-01-30, absent 2020-06-18)
Form ADVobserved 5 days ago
Occurred
Jun 18, 2020
Control person joined
Walter James Cox (Chief Compliance Officer) appeared on Schedule A of Westend Advisors, Llc
Form ADVobserved 5 days ago
Occurred
Jan 30, 2020
Regulatory AUM changed
Westend Advisors, Llc reported RAUM $812.8M, up 38% from $587.0M (2019-12-17 to 2020-01-30)
Form ADVobserved 5 days ago
$226M
Occurred
Jan 30, 2020
Control person left
Nicholas Joseph Dagostino (Managing Member, Chief Operating Officer) no longer on Schedule A of Westend Advisors, Llc (listed 2019-12-17, absent 2020-01-30)
Form ADVobserved 5 days ago
Occurred
Dec 17, 2019
Control person joined
Elaine Shannon Hull (Chief Compliance Officer) appeared on Schedule A of Westend Advisors, Llc
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Sep 14, 2026
Grace Dawn Klopstad registered as an investment adviser representative at Westend Advisors, Llc

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5e725f1-34a5-8275-86d3-6cbbeec7dcc5
First observed: Nov 15, 2011
Last observed: Jan 30, 2026 7 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.

WESTEND ADVISORS, LLC

CRD 133279

CHARLOTTE, NC

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:d5e725f1-34a5-8275-86d3-6cbbeec7dcc5

Data as of Jan 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:37 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

EDMUND NELSON DURDEN

n/a

CHARLOTTE, NC

n/a

ANNA F BROWN

n/a

CHARLOTTE, NC

FREDERICK O. PORTER

Chartered Financial Analyst

CHARLOTTE, NC

n/a

JENNIFER MARIE FRIEDLAND

n/a

CHARLOTTE, NC

JOSEPH NICHOLAS DAGOSTINO

n/a

CHARLOTTE, NC

MARION WOOTEN PEEBLES

Chartered Financial Analyst

CHARLOTTE, NC

n/a

JAMES WALTER COX

n/a

CHARLOTTE, NC

JASON MICHAEL LEIBOWITZ

n/a

Pinecrest, FL | CHARLOTTE, NC

JOHN CHARLES CARLSON

n/a

CHARLOTTE, NC | Essex Fells, NJ

yes

SETH LELDON KNIGHT

n/a

CHARLOTTE, NC

yes

DANIEL TOWNSEND PORTER

n/a

CHARLOTTE, NC | Chicago, IL

yes

STEPHEN HUNTER ROME

n/a

CHARLOTTE, NC | Dallas, TX

yes

Brian William Bzik

n/a

Jupiter, FL | CHARLOTTE, NC

yes

Luke Rutledge

n/a

Santa Monica, CA | CHARLOTTE, NC

yes

PETER NICHOLAS TORTORICI

n/a

CHARLOTTE, NC | Port Washington, NY

yes

Natale Joseph Monastra

n/a

CHARLOTTE, NC

n/a

yes

Cade Joseph Vela

n/a

CHARLOTTE, NC

n/a

yes

Trevor William Deubner

n/a

CHARLOTTE, NC

yes

Grace Dawn Klopstad

n/a

CHARLOTTE, NC

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COX, JAMES, WALTER

CHIEF COMPLIANCE OFFICER

yes

06/2020

Jan 30, 2026

DURDEN, EDMUND, NELSON

CHIEF INVESTMENT STRATEGIST

yes

12/2006

Jan 30, 2026

GUPTA, NINA

Secretary

yes

07/2016

Jan 30, 2026

LEIBOWITZ, JASON, MICHAEL

MANAGING PARTNER

yes

07/2023

Jan 30, 2026

PEEBLES, MARION, WOOTEN

CO-CHIEF INVESTMENT OFFICER

yes

08/2025

Jan 30, 2026

POLICARPO, MICHAEL, DENNIS

CHIEF ADMINISTRATIVE OFFICER

yes

08/2013

Jan 30, 2026

PORTER, FREDERICK, O.

CO-CHIEF INVESTMENT OFFICER PARTNER

yes

09/2019

Jan 30, 2026

HUNT, GRAHAM K

MANAGING PARTNER

yes

07/2015

Mar 22, 2018

Jun 3, 2024

VICTORY CAPITAL HOLDINGS, LLC

Shareholder

yes

12/2021

Jan 27, 2022

Jun 3, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VICTORY CAPITAL MANAGEMENT INC.

n/a

Asset manager

$283B

yes

n/a

VICTORY CAPITAL SERVICES, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 30, 2026

$1.9B

n/a

2024

Jan 30, 2025

$1.7B

n/a

2023

Jan 30, 2024

$1.5B

n/a

2022

Feb 14, 2023

$1.2B

n/a

2021

Jan 27, 2022

$1.6B

n/a

2020

Mar 23, 2021

$993M

n/a

2019

Jan 30, 2020

$813M

n/a

2018

Jan 31, 2019

$587M

n/a

2017

Mar 22, 2018

$776M

n/a

2016

Jan 30, 2017

$978M

n/a

2015

Jan 29, 2016

$2.0B

n/a

2014

Mar 10, 2015

$2.1B

n/a

2013

Mar 4, 2014

$2.8B

n/a

2012

Jan 29, 2013

$2.8B

n/a

2011

Feb 6, 2012

$2.1B

$2.0B

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

$1.9B

$1.7B

9.9%

$1.2B

15.8%