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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

WESTEND CAPITAL MANAGEMENT, LLC.

CRD 120545

SAUSALITO, CA

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Search this name across graphsid dfx:ria:f669b1d9-fa81-bc62-cd37-5c11eb7d2e88

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Mar 16, 2012 to Mar 18, 2026
47 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=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $436MItem 5.F on the latest filing (2026-03-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $432M
Private client RAUM: $427MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $145Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 470
Individual clients: 166
High net worth clients: 157
Private funds: 1Schedule D 7.B(1)
Custody, client assets: $6.7M
SEC number: 801-61128
CRD: 120545
Filings on the tape: 47
First filed: Mar 16, 2012
Latest filed: Mar 18, 2026
Organised: Limited Liability Company, CA
Website: wcmsf.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
GUSTAVE ROBERT OZAG	Certified Financial Planner\|Chartered Financial Consultant	San Rafael, CA	8	47	1	no
GEORGE BROWN BOLTON	n/a	Santa Monica, CA	8	40	1	no
JACEY BRIANNE WEST	n/a	SAUSALITO, CA	3	10	1	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
WESTEND PARTNERS, L.P.	Hedge Fund	$3.5M	Aug 20, 2024	23	Mar 16, 2012	reported	021-112594
GEO PERFORMANCE FUND LP	Hedge Fund	$0	Jan 10, 2017	0	Mar 31, 2015	dropped	021-139320

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
BOLTON, GEORGE, BROWN	MANAGING MEMBER	E	yes	09/2009	Mar 16, 2012	Aug 20, 2024
BOLTON, GEORGE, BROWN	CHIEF INVESTMENT OFFICER	Na	yes	04/2004	Mar 16, 2012	Aug 20, 2024
ELLIMAN, GEORGE	MEMBER, CHIEF FINANCIAL OFFICER, DIRECTOR OF BUSINESS DEVELOPMENT AND CHIEF COMPLIANCE OFFICER	B	yes	01/2015	Aug 30, 2012	Aug 20, 2024
OZAG, GUSTAVE, ROBERT	MEMBER, CHIEF FINANCIAL PLANNING OFFICER	C	yes	04/2002	Mar 16, 2012	Aug 20, 2024
BOLTON HOLDINGS LLC	Member	C	no	09/2009	Sep 29, 2017	Aug 20, 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; showing 14 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 18, 2026	$436M	$432M	5	3	0	1	n/a
2024	Apr 8, 2025	$348M	$348M	4	2	0	1	n/a
2023	Feb 28, 2024	$233M	$233M	4	2	0	1	$3.5M
2022	Mar 31, 2023	$175M	$175M	5	2	0	1	$6.7M
2020	Mar 31, 2021	$158M	$158M	5	2	0	1	$7.0M
2019	Mar 20, 2020	$99.6M	$99.6M	5	2	0	1	$7.0M
2018	Mar 29, 2019	$91.9M	$91.9M	5	2	0	1	$6.4M
2017	Feb 1, 2018	$102M	$102M	5	2	0	1	$8.5M
2016	Mar 15, 2017	$76.2M	$76.2M	5	4	n/a	1	$5.2M
2015	Mar 30, 2016	$81.4M	$81.4M	7	5	n/a	2	$5.9M
2014	Mar 31, 2015	$119M	$119M	7	5	n/a	2	$12.3M
2013	Mar 27, 2014	$105M	$105M	6	5	n/a	1	$34.6M
2012	Mar 28, 2013	$101M	$101M	5	5	n/a	1	$34.6M
2011	Mar 16, 2012	$233M	$233M	n/a	n/a	n/a	1	$83.4M

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	$436M	$348M	25.3%	$175M	35.7%	5	4	0	0

Relationships

Advises (2)

→ WESTEND PARTNERS, L.P.Private fundHedge Fund, IA
Mar 16, 2012 to presentfactForm ADV
→ GEO PERFORMANCE FUND LPPrivate fundHedge Fund, IA, no longer reported
Mar 31, 2015 to Jan 10, 2017factForm ADV

Registered with (3)

← JACEY BRIANNE WESTAdvisorregistration: current employment
Jun 21, 2023 to presentfactForm ADV
← GEORGE BROWN BOLTONAdvisorregistration: previous registration
Mar 20, 2007 to Dec 31, 2016factForm ADV
← GUSTAVE ROBERT OZAGAdvisorregistration: previous registration
Aug 30, 2016 to Dec 31, 2016factForm ADV

Controls (3)

← OZAG, GUSTAVE, ROBERTOwnerMEMBER, CHIEF FINANCIAL PLANNING OFFICER, ownership code C, individual
Mar 16, 2012 to Aug 20, 2024factForm ADV
← BOLTON, GEORGE, BROWNOwnerMANAGING MEMBER, ownership code E, individual
Mar 16, 2012 to Aug 20, 2024factForm ADV
← ELLIMAN, GEORGEOwnerMEMBER, CHIEF FINANCIAL OFFICER, DIRECTOR OF BUSINESS DEVELOPMENT AND CHIEF COMPLIANCE OFFICER, ownership code B, individual
Aug 30, 2012 to Aug 20, 2024factForm ADV

Owns (1)

← BOLTON HOLDINGS LLCOwnerMEMBER, ownership code C, domestic entity
Sep 29, 2017 to Aug 20, 2024factForm ADV

Dated events

Occurred
Jan 29, 2025
Regulatory AUM changed
Westend Capital Management, Llc. reported RAUM $348.1M, up 49% from $232.9M (2024-08-20 to 2025-01-29)
Form ADVobserved 6 days ago
$115M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f669b1d9-fa81-bc62-cd37-5c11eb7d2e88
First observed: Mar 16, 2012
Last observed: Mar 18, 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.

WESTEND CAPITAL MANAGEMENT, LLC.

CRD 120545

SAUSALITO, 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:f669b1d9-fa81-bc62-cd37-5c11eb7d2e88

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:24 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

GUSTAVE ROBERT OZAG

Certified Financial Planner|Chartered Financial Consultant

San Rafael, CA

GEORGE BROWN BOLTON

n/a

Santa Monica, CA

JACEY BRIANNE WEST

n/a

SAUSALITO, CA

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

WESTEND PARTNERS, L.P.

Hedge Fund

$3.5M

Aug 20, 2024

Mar 16, 2012

reported

021-112594

GEO PERFORMANCE FUND LP

Hedge Fund

Jan 10, 2017

Mar 31, 2015

dropped

021-139320

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOLTON, GEORGE, BROWN

MANAGING MEMBER

yes

09/2009

Mar 16, 2012

Aug 20, 2024

BOLTON, GEORGE, BROWN

CHIEF INVESTMENT OFFICER

yes

04/2004

Mar 16, 2012

Aug 20, 2024

ELLIMAN, GEORGE

MEMBER, CHIEF FINANCIAL OFFICER, DIRECTOR OF BUSINESS DEVELOPMENT AND CHIEF COMPLIANCE OFFICER

yes

01/2015

Aug 30, 2012

Aug 20, 2024

OZAG, GUSTAVE, ROBERT

MEMBER, CHIEF FINANCIAL PLANNING OFFICER

yes

04/2002

Mar 16, 2012

Aug 20, 2024

BOLTON HOLDINGS LLC

Member

09/2009

Sep 29, 2017

Aug 20, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 18, 2026

$436M

$432M

n/a

2024

Apr 8, 2025

$348M

n/a

2023

Feb 28, 2024

$233M

$3.5M

2022

Mar 31, 2023

$175M

$6.7M

2020

Mar 31, 2021

$158M

$7.0M

2019

Mar 20, 2020

$99.6M

$7.0M

2018

Mar 29, 2019

$91.9M

$6.4M

2017

Feb 1, 2018

$102M

$8.5M

2016

Mar 15, 2017

$76.2M

n/a

$5.2M

2015

Mar 30, 2016

$81.4M

n/a

$5.9M

2014

Mar 31, 2015

$119M

n/a

$12.3M

2013

Mar 27, 2014

$105M

n/a

$34.6M

2012

Mar 28, 2013

$101M

n/a

$34.6M

2011

Mar 16, 2012

$233M

n/a

$83.4M

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

$436M

$348M

25.3%

$175M

35.7%