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
Westpark Capital, Inc.
Latest filing Jun 3, 2026
First filing on the tape Aug 10, 2016 · 49 filings
SEC status approved since Sep 7, 2016
RAUM
$53.1M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
100%
$53.1M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$5.3M
derived; firm RAUM over IAPD count
Employees
11
11 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$53.1M as of Jun 3, 2026
Mar 31, 2017$44.4M then
HNW client RAUM$3.7M as of Mar 8, 2023
Mar 12, 2018$2.9M then
State-registered IARs (5.B.3)11 as of Jun 3, 2026
Mar 31, 20171 then
Employees (5.A)11 as of Jun 3, 2026
Mar 31, 201714 then
Private funds: no history
RAUM +12% over the last fiscal year+15% a year over threeIARs 10 to 11
Practice profile
derived from the filing of Jun 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $5.3MderivedRAUM 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
- $200,294derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$53.1M100%
- Individual clients
- 265reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 265reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=10.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Vikas Goel | Irvine, Ca | Jul 18, 2016 | 24 y | 4 |
| Thomas Edward Jandt | Irvine, Ca | Jul 18, 2016 | 33 y | 2 |
| Vijay Ramsarran | Boca Raton, Fl | Feb 5, 2019 | 27 y | 0 |
| Daniel Vincent Joyce | New York, Ny | Jan 18, 2022 | 41 y | 2 |
| David Michael Eurton | Irvine, Ca | Jan 1, 2025 | 27 y | 0 |
| Susan Sajjadi | Irvine, Ca | Jan 2, 2025 | 37 y | 5 |
| Edwin Tomohiro Suzuki | Irvine, Ca | Jan 4, 2025 | 21 y | 3 |
| Vincent James Capodanno | Boca Raton, Fl | Jun 4, 2025 | 33 y | 0 |
| Ray Wook Kim | Irvine, Ca | Jan 1, 2026 | 24 y | 4 |
| Richard Alyn Rappaport | Los Angeles, Ca | Jan 1, 2026 | 32 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 10% of current headcount3 left over 36 months
Left, latest
- Barbara G. Meyers to Planmember Securities CorporationJul 10, 2026 · RIA to RIA
- Jessica Barbey to Pnc Wealth ManagementJul 28, 2025 · RIA to affiliated broker-dealer or bank
- Syed Mohammed Ali Farooq to ForefrontOct 17, 2023 · RIA to RIA
- Sarah M Wisniewski to The Oak Ridge Financial Services Group, IncMar 30, 2023 · RIA to affiliated broker-dealer or bank
- Patrick Hugh Burgdorf to Cetera Investment Advisers LLCJun 7, 2022 · RIA to affiliated broker-dealer or bank
- Scot Barringer to Chicago Capital Management Advisors, LLCJul 16, 2020 · Other
- Kristopher Charles Kessler to Chicago Capital Management Advisors, LLCJun 18, 2020 · Other
- David Bernard Levinson to Chicago Capital Management Advisors, LLCApr 28, 2020 · Other
- Justin Matthew Smith to Chicago Capital Management Advisors, LLCApr 28, 2020 · Other
- Richard Colby Mcfadden to Quiver Financial Holdings LLCMar 17, 2020 · RIA to a state-registered adviser
- Michael Diprimio to Delta Investment Management, LLCMay 22, 2019 · RIA to RIA
- Jason Eric Luhan to The Pacific Financial Group, Inc.Mar 21, 2019 · RIA to RIA
- Hussein Elgohary to Clarity Capital PartnersMar 21, 2019 · RIA to RIA
- Kevin Francis Hughes to Emerson Equity LLCMar 21, 2019 · RIA to affiliated broker-dealer or bank
- Curtis Jerald Habsieger to Cgr FinancialJan 11, 2019 · RIA to a state-registered adviser
Joined, latest
- Ray Wook Kim from Newport Coast Asset ManagementJan 1, 2026 · Other
- Edwin Tomohiro Suzuki from Newport Coast Asset ManagementJan 4, 2025 · Other
- Jessica Barbey from Wells Fargo AdvisorsJan 3, 2023 · Wirehouse to independent RIA
- Barbara G. Meyers from Woodbury Financial Services, Inc.May 10, 2022 · Affiliated broker-dealer or bank to independent RIA
- Daniel Vincent Joyce from Scf Investment Advisors, Inc.Jan 18, 2022 · Other
- Patrick Hugh Burgdorf from Advice And Planning ServicesDec 2, 2020 · Affiliated broker-dealer or bank to independent RIA
- David Bernard Levinson from Newport Coast Asset ManagementMar 27, 2019 · Other
- Jason Eric Luhan from Freedom Investment Management, Inc.Jul 2, 2018 · RIA to RIA
- Sarah M Wisniewski from National Planning Corporation ("Npc Of America" In Fl & Ny)Jun 5, 2018 · Other
- Kevin Francis Hughes from Independent Financial Group, LLCMay 24, 2018 · Affiliated broker-dealer or bank to independent RIA
- Jason Lee Mcmurtry from Citicorp Investment ServicesJan 29, 2018 · Other
- Michael Diprimio from Osaic Fa, Inc.Oct 23, 2017 · Other
- Jason Bryce Vanclef from Vfg Advisors, Inc.Oct 10, 2017 · Other
- Andrew Courtice Bagnall from First Heartland Consultants, Inc.May 25, 2017 · Other
- Syed Mohammed Ali Farooq from Protected Investors Of AmericaJan 17, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Chicago Capital Management Advisors, LLCApr 28, 2020 · Irvine, Ca
- 2 joined from Newport Coast Asset ManagementSep 1, 2016 · Irvine, Ca
- 5 joined from Newport Coast Asset ManagementJul 20, 2016 · Irvine, Ca
- 2 joined from Newport Coast Asset ManagementJul 20, 2016 · New York, Ny
- 3 joined from Newport Coast Asset Management, Inc.Apr 6, 2015 · Irvine, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Wendy Louise Kretschmer · Finopcontrolsince 08/2021 · owns less than 5%
- Amanda Rappaport · Membercontrolsince 11/2021 · owns F of Westpark Capital Group, LLC
- Jessica Barbey · Chief Compliance Officersince 07/2023 · owns less than 5%
- Richard Alyn Rappaport · Chief Executive Officersince 03/2023 · owns less than 5%
- Jason Scott Stern · Chief Operating Officersince 04/2011 · owns less than 5%
Entity owners
- Westpark Capital Group LLC · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Westpark Capital, Inc.broker-dealeryRAUM $53.1M
Advisers that list Westpark Capital, Inc. as a related person
- 39914 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Irvine, Ca | 6 | 1 | 1 | ||
| Boca Raton, Fl | 2 | 0 | 0 | ||
| River Falls, Wi | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Irvine, CA13 employees
- Boca Raton, FL2 employees
- New York, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 234 to 265Jan 15, 2026 to Mar 30, 2026
- Advisory employees · 10 to 11Jan 15, 2026 to Mar 30, 2026
- BD registered reps · 9 to 10Jan 15, 2026 to Mar 30, 2026
- Individual clients · 234 to 265Jan 15, 2026 to Mar 30, 2026
- Employees · 15 to 11Jan 15, 2026 to Mar 30, 2026
- HQ city · NEW YORK to LOS ANGELESJan 15, 2026 to Mar 30, 2026
- HQ state · NY to CAJan 15, 2026 to Mar 30, 2026
- State-registered IARs · 10 to 11Jan 15, 2026 to Mar 30, 2026
- Discretionary RAUM · $47.4M to $47.8MJan 15, 2026 to Mar 30, 2026
- Individual RAUM · $47.6M to $53.1MJan 15, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $167,926 to $5.2MJan 15, 2026 to Mar 30, 2026
- RAUM · $47.6M to $53.1MJan 15, 2026 to Mar 30, 2026
- Financial planning clients · 1-10 to 1-10Mar 31, 2025 to Jun 30, 2025
- Accounts · 200 to 234Jan 3, 2025 to Mar 31, 2025
- Advisory employees · 11 to 10Jan 3, 2025 to Mar 31, 2025
- BD registered reps · 11 to 9Jan 3, 2025 to Mar 31, 2025
- Individual clients · 200 to 234Jan 3, 2025 to Mar 31, 2025
- Employees · 17 to 15Jan 3, 2025 to Mar 31, 2025
- HQ city · LOS ANGELES to NEW YORKJan 3, 2025 to Mar 31, 2025
- HQ state · CA to NYJan 3, 2025 to Mar 31, 2025
- State-registered IARs · 12 to 10Jan 3, 2025 to Mar 31, 2025
- Discretionary RAUM · $0 to $47.4MJan 3, 2025 to Mar 31, 2025
- Individual RAUM · $30.0M to $47.6MJan 3, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $30.0M to $167,926Jan 3, 2025 to Mar 31, 2025
- RAUM · $30.0M to $47.6MJan 3, 2025 to Mar 31, 2025
- Accounts · 241 to 200Jun 15, 2023 to Mar 28, 2024
- Advisory employees · 12 to 11Jun 15, 2023 to Mar 28, 2024
- BD registered reps · 12 to 11Jun 15, 2023 to Mar 28, 2024
- HNW clients · 3.0 to unsetJun 15, 2023 to Mar 28, 2024
- Individual clients · 238 to 200Jun 15, 2023 to Mar 28, 2024
- Employees · 13 to 17Jun 15, 2023 to Mar 28, 2024
- State-registered IARs · 13 to 12Jun 15, 2023 to Mar 28, 2024
- Discretionary RAUM · $34.8M to $0Jun 15, 2023 to Mar 28, 2024
- HNW RAUM · 3716186.0 to unsetJun 15, 2023 to Mar 28, 2024
- Individual RAUM · $31.4M to $30.0MJun 15, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $338,277 to $30.0MJun 15, 2023 to Mar 28, 2024
- RAUM · $35.1M to $30.0MJun 15, 2023 to Mar 28, 2024
- Accounts · 179 to 241Jan 4, 2023 to Mar 8, 2023
- HNW clients · 13 to 3Jan 4, 2023 to Mar 8, 2023
- Individual clients · 166 to 238Jan 4, 2023 to Mar 8, 2023
Signals
10 dated events
- Barbara G. Meyers left Westpark Capital, Inc. for Planmember Securities Corporation (registered 2026-06-17)Jul 10, 2026 · Advisor changed firm · fact
- Jessica Barbey left Westpark Capital, Inc. for Pnc Wealth Management (registered 2025-12-11)Jul 28, 2025 · Advisor changed firm · fact
- Syed Mohammed Ali Farooq left Westpark Capital, Inc. for Forefront (registered 2023-10-16)Oct 17, 2023 · Advisor changed firm · fact
- Sarah M Wisniewski left Westpark Capital, Inc. for The Oak Ridge Financial Services Group, Inc (registered 2023-03-31)Mar 30, 2023 · Advisor changed firm · fact
- Amanda Rappaport (Member) appeared on Schedule A of Westpark Capital, Inc.Aug 16, 2022 · Control person joined · fact
- Richard Alyn Rappaport (Member) no longer on Schedule A of Westpark Capital, Inc. (listed 2022-06-17, absent 2022-08-16)Aug 16, 2022 · Control person left · inference
- Patrick Hugh Burgdorf left Westpark Capital, Inc. for Cetera Investment Advisers Llc (registered 2022-06-24)Jun 7, 2022 · Advisor changed firm · fact
- Wendy Louise Kretschmer (Senior Executive Officer) appeared on Schedule A of Westpark Capital, Inc.Nov 16, 2021 · Control person joined · fact
- Westpark Capital, Inc. reported 22 state-registered advisory representatives, up from 1 (2017-03-31 to 2018-03-12)Mar 12, 2018 · Advisor headcount change · derived
- Westpark Capital, Inc. filed its initial SEC registration (Form ADV)Aug 10, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- WestPark Capital, Inc. · Independent Sponsorsshared crd · intermediary
- WestPark Capital, Inc. · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/149633/admin/feed/postsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- meyersfinancialgroup.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 310-843-9300reportedpublic record, Form ADV, Jun 3, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $5.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026