DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Westchester Capital Management, LLC
Latest filing Mar 30, 2026
First filing on the tape Mar 16, 2012 · 22 filings
SEC status approved since Dec 17, 2010
RAUM
$2.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$2.9B as of Mar 30, 2026
Mar 16, 2012$5.2B then
HNW client RAUM$0 as of Mar 30, 2026
Mar 28, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 16, 20120 then
Employees (5.A)10 as of Mar 30, 2026
Apr 1, 201313 then
Private funds1 as of Mar 24, 2016
Apr 1, 20131 then
RAUM +2.5% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $412MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$2.9B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Merrill Lynch Investment Solutions--Westchester Merger Arbitrage Ucits Fundno longer reported | Other Private Fund | $7.3M | 5 | Apr 1, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Aaron Michael Angerthal · Executive Vice Presidentcontrolsince 10/2021 · owns less than 5%
- Robert George Aylward · Chief Executive Officercontrolsince 10/2021 · owns less than 5%
- Douglas Roy Behren · Co-President And Co-Chief Investment Officercontrolsince 10/2021 · owns less than 5%
- J Christopher Colomb · Chief Operations Officercontrolsince 10/2021 · owns less than 5%
- Cynthia Andra Purkalitis · Executive Vice President And Chief Legal Officercontrolsince 11/2023 · owns less than 5%
- Thomas Michael Shannon · Co-President And Co-Chief Investment Officercontrolsince 10/2021 · owns less than 5%
- William Richard Smirl · Executive Vice Presidentcontrolsince 10/2021 · owns less than 5%
- Lee Casaundra Wu · Assistant Managing Director And Chief Compliance Officercontrolsince 10/2021 · owns less than 5%
Entity owners
- Virtus Partners, Inc. · Sole Memberdirect · owns 75% or more
- Virtus Investment Partners, Inc. · Sole Shareholderindirect · owns 75% or more of Virtus Partners, Inc. · public reporting company
Related persons
Schedule D 7.A
- Alphasimplex Group, LLCinvestment adviserbanknRAUM $3.1B
- Ceredex Value Advisors LLCinvestment advisernRAUM $3.4B
- Duff & Phelps Investment Management Co.investment advisernRAUM $13B
- Kayne Anderson Rudnick Investment Management, LLCinvestment advisernRAUM $39B
- Nfj Investment Group, LLCinvestment advisernRAUM $3.0B
- Seix Clo Management Gp LLCpooled vehicle sponsorn
- Seix Clo Management LLCinvestment advisernRAUM $336M
- Silvant Capital Management LLCinvestment advisernRAUM $3.0B
- Sustainable Growth Advisers, LPinvestment advisernRAUM $17B
- Virtus Alternative Investment Advisers, LLCinvestment adviserbanknRAUM $1.1B
- Virtus Advisers, LLCinvestment adviserbanknRAUM $1.4B
- Virtus Fixed Income Advisers, LLCinvestment adviserbanknRAUM $35B
- Virtus Capital Advisers, LLCinvestment adviserbanknRAUM $1.5B
- Virtus Global Partners Pte. Ltd.investment advisern
- Virtus International Fund Management Limitedinvestment adviserpooled vehicle sponsorn
- Virtus International Management Llpinvestment advisern
- Virtus Investment Advisers, LLCinvestment adviserbankpooled vehicle sponsornRAUM $52B
- Vp Distributors LLCbroker-dealern
- Westchester Capital Partners, LLCinvestment adviserbankpooled vehicle sponsornRAUM $34.2M
Advisers that list Westchester Capital Management, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 11 to 10Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.8B to $2.9BMar 28, 2025 to Mar 30, 2026
- RAUM · $2.8B to $2.9BMar 28, 2025 to Mar 30, 2026
- Advisory employees · 7 to 6Mar 28, 2024 to Mar 28, 2025
- Charity clients · unset to 0.0Mar 28, 2024 to Mar 28, 2025
- Corporate clients · unset to 0.0Mar 28, 2024 to Mar 28, 2025
- HNW clients · unset to 0.0Mar 28, 2024 to Mar 28, 2025
- Individual clients · unset to 0.0Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · unset to 0.0Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · unset to 0.0Mar 28, 2024 to Mar 28, 2025
- Employees · 14 to 11Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $4.0B to $2.8BMar 28, 2024 to Mar 28, 2025
- HNW RAUM · unset to 0.0Mar 28, 2024 to Mar 28, 2025
- Individual RAUM · unset to 0.0Mar 28, 2024 to Mar 28, 2025
- Pension RAUM · unset to 0.0Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 28, 2024 to Mar 28, 2025
- RAUM · $4.0B to $2.8BMar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $5.3B to $4.0BDec 7, 2023 to Mar 28, 2024
- RAUM · $5.3B to $4.0BDec 7, 2023 to Mar 28, 2024
- Employees · 13 to 14Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $5.3B to $5.3BMar 31, 2022 to Mar 30, 2023
- RAUM · $5.3B to $5.3BMar 31, 2022 to Mar 30, 2023
- Employees · 14 to 13Oct 15, 2021 to Mar 31, 2022
- Discretionary RAUM · $5.4B to $5.3BOct 15, 2021 to Mar 31, 2022
- RAUM · $5.4B to $5.3BOct 15, 2021 to Mar 31, 2022
- Accounts · 6 to 7Aug 10, 2021 to Oct 15, 2021
- BD registered reps · 3 to 0Aug 10, 2021 to Oct 15, 2021
- Employees · 18 to 14Aug 10, 2021 to Oct 15, 2021
- Discretionary RAUM · $4.7B to $5.4BAug 10, 2021 to Oct 15, 2021
- RAUM · $4.7B to $5.4BAug 10, 2021 to Oct 15, 2021
- Related broker-dealer · false to trueAug 10, 2021 to Oct 15, 2021
- Discretionary RAUM · $4.2B to $4.7BJan 30, 2021 to Mar 31, 2021
- RAUM · $4.2B to $4.7BJan 30, 2021 to Mar 31, 2021
- Discretionary RAUM · $4.0B to $4.2BMar 29, 2019 to Mar 27, 2020
- RAUM · $4.0B to $4.2BMar 29, 2019 to Mar 27, 2020
- Discretionary RAUM · $2.8B to $4.0BMar 30, 2018 to Mar 29, 2019
- RAUM · $2.8B to $4.0BMar 30, 2018 to Mar 29, 2019
- BD registered reps · 1 to 3Mar 28, 2017 to Mar 30, 2018
- Employees · 16 to 18Mar 28, 2017 to Mar 30, 2018
Signals
13 dated events
- Westchester Capital Management, Llc reported RAUM $2.8B, down 29% from $4.0B (2024-03-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Westchester Capital Management, Llc reported RAUM $4.0B, down 26% from $5.3B (2023-12-07 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Cynthia Andra Purkalitis (Executive Vice President And Chief Legal Officer) appeared on Schedule A of Westchester Capital Management, LlcDec 7, 2023 · Control person joined · fact
- Jacqueline Wendy Hills (Executive Vice President, General Counsel And Secretary) no longer on Schedule A of Westchester Capital Management, Llc (listed 2023-03-30, absent 2023-06-20)Jun 20, 2023 · Control person left · inference
- Aaron Michael Angerthal (Executive Vice President) appeared on Schedule A of Westchester Capital Management, LlcOct 15, 2021 · Control person joined · fact
- Robert George Aylward (Chief Executive Officer) appeared on Schedule A of Westchester Capital Management, LlcOct 15, 2021 · Control person joined · fact
- Jacqueline Wendy Hills (Executive Vice President, General Counsel And Secretary) appeared on Schedule A of Westchester Capital Management, LlcOct 15, 2021 · Control person joined · fact
- William Richard Smirl (Executive Vice President) appeared on Schedule A of Westchester Capital Management, LlcOct 15, 2021 · Control person joined · fact
- Lee Casaundra Wu (Chief Compliance Officer) appeared on Schedule A of Westchester Capital Management, LlcAug 10, 2021 · Control person joined · fact
- J Christopher Colomb (Chief Financial Officer) appeared on Schedule A of Westchester Capital Management, LlcAug 10, 2021 · Control person joined · fact
- Jay Bruce Rubin (Chief Compliance Officer And Chief Operating Officer) no longer on Schedule A of Westchester Capital Management, Llc (listed 2021-03-31, absent 2021-08-10)Aug 10, 2021 · Control person left · inference
- Westchester Capital Management, Llc reported RAUM $4.0B, up 42% from $2.8B (2018-03-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Westchester Capital Management, Llc reported RAUM $2.8B, down 25% from $3.8B (2017-03-28 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/westchester-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- VIRTUS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-741-5600reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026