WESTPARK CAPITAL, INC.
Adviser information for WESTPARK CAPITAL, INC. last updated from Form ADV on March 30th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 17 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 12 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 200 | $30.0M |
| Total | 200 | $30.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 200 | $30.0M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Principal Office
1800 CENTURY PARK EASTSUITE 220
LOS ANGELES
CA
United States
Monday - Friday, 6:30 AM - 5:00 PM
Tel: 310-843-9300, Fax: None
Chief Compliance Officer
JESSICA BARBEY
CHIEF COMPLIANCE OFFICER
1800 CENTURY PARK EAST
SUITE 220
LOS ANGELES
CA
United States
Tel:
310-843-9300
C*********@************M
(Full email address available in API data)
Regulatory Contact
WENDY KRETSCHMER
FINOP
1800 CENTURY PARK EAST
SUITE 220
LOS ANGELES
CA
United States
Tel:
310-843-9300
W**********@************M
(Full email address available in API data)
Industry Affiliates
| WESTPARK CAPITAL, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RAPPAPORT, AMANDA | Individual | WESTPARK CAPITAL GROUP, LLC | MEMBER | 11/2021 | |
| WESTPARK CAPITAL GROUP LLC | Domestic Entity | – | SHAREHOLDER | 11/1999 | > 75% |
| STERN, JASON SCOTT | Individual | – | CHIEF OPERATING OFFICER | 04/2011 | < 5% |
| KRETSCHMER, WENDY LOUISE | Individual | – | FINOP | 08/2021 | < 5% |
| RAPPAPORT, RICHARD ALYN | Individual | – | CHIEF EXECUTIVE OFFICER | 03/2023 | < 5% |
| BARBEY, JESSICA | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2023 | < 5% |