Hedge Fund Database

WEST FINANCIAL ADVISORS, L.L.C.

Adviser information for WEST FINANCIAL ADVISORS, L.L.C. last updated from Form ADV on January 19th, 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 Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Iowa, United States

Employees

Total Number of Employees 7
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,574 $491.8M
Non-Discretionary 4 $18.8M
Total 1,578 $510.6M

Clients

Type Number RAUM
Individuals 97 $36.1M
HNW Individuals 177 $455.7M
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 <5 $18.8M
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 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPublication of periodicals or newslettersEducational seminars/workshops
Compensation % of AUMHourly charges

Identifiers

SEC RIA File Number 801-109976
SEC ERA File Number 801-109976
SEC CIK Numbers 1843684
SEC CRD Numbers 142265
Legal Entity Identifier None

Principal Office

111 EAST GRAND, SUITE 412
DES MOINES
IA
United States
Monday - Friday, 8:00 A.M. TO 4:00 P.M.
Tel: 515-284-1011, Fax: 515-284-6522

Websites

twitter.com/westfinadvisors www.facebook.com/west-financial-advisors-llc-226679334019247/ www.westfinancialadvisors.com

Chief Compliance Officer

LAURA WEST
MANAGING MEMBER
111 EAST GRAND, SUITE 412
DES MOINES
IA
United States
Tel: 515-284-1011
Fax: 515-284-6522
(Full email address available in API data)

Regulatory Contact

GARY CLAYTON
COMPLIANCE CONSULTANT
PO BOX 10254
KNOXVILLE
TN
United States
Tel: 865-770-1024
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
WEST, LAURA, KAY BRANNEN Individual – MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER 04/2006 25-50%
WEST, BRIAN, ALLEN Individual – MANAGING MEMBER 11/2008 25-50%
West, Allison, Brannen Individual – MEMBER 01/2020 < 5%
West, Jackson, Brannen Individual – MEMBER 01/2020 < 5%
West, Michael, Brannen Individual – MEMBER 01/2020 < 5%

No. Employees, Historic

105020192020202120222023202420256 on 5/20/20196 on 1/23/20206 on 5/19/20206 on 5/20/20206 on 6/8/20206 on 11/16/20206 on 1/19/20216 on 1/24/20226 on 1/27/20226 on 5/26/20226 on 8/1/20227 on 1/17/20237 on 1/19/2024

RAUM, Historic

600M300M02019202020212022202320242025246400000 on 5/20/2019307800000 on 1/23/2020307800000 on 5/19/2020307800000 on 5/20/2020307800000 on 6/8/2020307800000 on 11/16/2020375100000 on 1/19/2021475000000 on 1/24/2022475000000 on 1/27/2022475000000 on 5/26/2022475000000 on 8/1/2022418848245 on 1/17/2023510623128 on 1/19/2024

No. Clients, Historic

30015002019202020212022202320242025166 on 5/20/2019187 on 1/23/2020187 on 5/19/2020187 on 5/20/2020187 on 6/8/2020187 on 11/16/2020209 on 1/19/2021246 on 1/24/2022246 on 1/27/2022246 on 5/26/2022246 on 8/1/2022267 on 1/17/2023274 on 1/19/2024

Holdings

From latest 13F, filed July 15th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 64K 616 –
ABBVIE INC COM 113K 657 –
ABSCI CORPORATION COM 462 150 –
AFLAC INC COM 9K 105 –
ALLIANT ENERGY CORP COM 548K 11K –
ALPHABET INC CAP STK CL A 364K 2K –
ALPHABET INC CAP STK CL C 367K 2K –
AMERICAN TOWER CORP NEW COM 7K 36 –
AMES NATL CORP COM 16K 804 –
AMGEN INC COM 239K 764 –
APPLE INC COM 3M 13K –
ARCHER DANIELS MIDLAND CO COM 121K 2K –
ASANA INC CL A 1K 99 –
AST SPACEMOBILE INC COM CL A 2K 200 –
BALL CORP COM 29K 488 –
BAXTER INTL INC COM 7K 200 –
BERKSHIRE HATHAWAY INC DEL CL B NEW 116K 286 –
BLACKROCK INC COM 20K 26 –
BOEING CO COM 79K 433 –
BYRNA TECHNOLOGIES INC COM NEW 998 100 –
CAPITOL FED FINL INC COM 23K 4K –
CASEYS GEN STORES INC COM 78K 205 –
CATERPILLAR INC COM 34K 103 –
CHURCH & DWIGHT CO INC COM 187K 2K –
CISCO SYS INC COM 13K 265 –
CLOROX CO DEL COM 9K 63 –
COCA COLA CO COM 7K 114 –
CONSOLIDATED EDISON INC COM 42K 472 –
CORTEVA INC COM 70K 1K –
COSTCO WHSL CORP NEW COM 35K 41 –
CUMMINS INC COM 35K 126 –
CVS HEALTH CORP COM 12K 203 –
DEERE & CO COM 61K 164 –
DIAGEO PLC SPON ADR NEW 5K 41 –
DIMENSIONAL ETF TRUST EMGR CRE EQT MNG 23M 899K –
DIMENSIONAL ETF TRUST INTERNATNAL VAL 24K 666 –
DIMENSIONAL ETF TRUST INTL CORE EQT MK 268 9 –
DIMENSIONAL ETF TRUST NATL MUN BD ETF 8M 177K –
DIMENSIONAL ETF TRUST US CORE EQT MKT 3K 90 –
DIMENSIONAL ETF TRUST US HIGH PROFITAB 13M 393K –
DIMENSIONAL ETF TRUST US SMALL CAP ETF 11M 183K –
DISNEY WALT CO COM 9K 86 –
DOMINION ENERGY INC COM 16K 326 –
DUKE ENERGY CORP NEW COM NEW 11K 108 –
ENTERPRISE PRODS PARTNERS L COM 413 14 –
ETFIS SER TR I VIRTUS INFRCAP 501 24 –
EXXON MOBIL CORP COM 85K 741 –
FEDEX CORP COM 7K 25 –
FIRST INTST BANCSYSTEM INC COM 176K 6K –
FIRST TR VALUE LINE DIVID IN SHS 29K 718 –
FMC CORP COM NEW 15K 265 –
FORD MTR CO DEL COM 9K 728 –
FRANKLIN RESOURCES INC COM 1K 50 –
GLOBE LIFE INC COM 165K 2K –
HARTFORD FINL SVCS GROUP INC COM 25K 247 –
HONEYWELL INTL INC COM 148K 695 –
IMMERSION CORP COM 941 100 –
INVESCO EXCH TRADED FD TR II GLOBAL WATER 51K 1K –
INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 2M 42K –
INVESCO QQQ TR UNIT SER 1 5M 10K –
ISHARES TR CORE DIV GRWTH 99K 2K –
ISHARES TR CORE MSCI EAFE 19M 257K –
ISHARES TR CORE S&P MCP ETF 21M 352K –
ISHARES TR DOW JONES US ETF 21K 160 –
ISHARES TR ISHARES BIOTECH 20K 148 –
ISHARES TR MSCI EAFE ETF 38K 482 –
ISHARES TR MSCI KLD400 SOC 525K 5K –
ISHARES TR MSCI USA ESG SLC 623K 6K –
ISHARES TR NATIONAL MUN ETF 715K 7K –
ISHARES TR RUS 1000 VAL ETF 61K 351 –
ISHARES TR RUS MID CAP ETF 84K 1K –
ISHARES TR RUS TP200 GR ETF 8K 36 –
ISHARES TR RUSSELL 2000 ETF 21K 105 –
ISHARES TR SELECT DIVID ETF 33K 273 –
ISHARES TR TIPS BD ETF 9M 88K –
JABIL INC COM 22K 200 –
JOHNSON CTLS INTL PLC SHS 10K 145 –
KINDER MORGAN INC DEL COM 4K 206 –
KROGER CO COM 56K 1K –
LOWES COS INC COM 56K 256 –
LUMOS PHARMA INC COM 2K 784 –
MARRIOTT INTL INC NEW CL A 33K 135 –
MCDONALDS CORP COM 37K 145 –
MERCK & CO INC COM 144K 1K –
MICROSOFT CORP COM 742K 2K –
NIKE INC CL B 45K 600 –
NORFOLK SOUTHN CORP COM 182K 846 –
NORTHERN OIL & GAS INC COM 2K 51 –
NORWEGIAN CRUISE LINE HLDG L SHS 2K 100 –
ORACLE CORP COM 204K 1K –
ORGANON & CO COMMON STOCK 104 5 –
OTTER TAIL CORP COM 29K 334 –
PENNANTPARK INVT CORP COM 2K 306 –
PERMIAN RESOURCES CORP CLASS A COM 1K 65 –
PIMCO ETF TR 0-5 HIGH YIELD 6M 69K –
PNC FINL SVCS GROUP INC COM 27K 174 –
PRAIRIE OPER CO COM 1K 100 –
PRICE T ROWE GROUP INC COM 414K 4K –
PRINCIPAL FINANCIAL GROUP IN COM 191K 2K –
PROCTER AND GAMBLE CO COM 8K 50 –
PRUDENTIAL FINL INC COM 15K 131 –
QCR HOLDINGS INC COM 52K 870 –
QUALCOMM INC COM 333K 2K –
QUICKLOGIC CORP COM NEW 520 50 –
S & T BANCORP INC COM 9K 262 –
SCHWAB CHARLES CORP COM 928K 13K –
SCHWAB STRATEGIC TR INTL EQTY ETF 73K 2K –
SCHWAB STRATEGIC TR US BRD MKT ETF 569K 9K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 261K 3K –
SELECT SECTOR SPDR TR COMMUNICATION 2M 28K –
SELECT SECTOR SPDR TR FINANCIAL 2M 56K –
SELECT SECTOR SPDR TR INDL 2M 19K –
SELECT SECTOR SPDR TR TECHNOLOGY 2M 11K –
SOFI TECHNOLOGIES INC COM 324 49 –
SPDR S&P 500 ETF TR TR UNIT 128M 236K –
SPDR SER TR BLOOMBERG 1-3 MO 6M 68K –
SPDR SER TR S&P DIVID ETF 37K 294 –
STARBUCKS CORP COM 39K 497 –
TARGA RES CORP COM 19K 151 –
TARGET CORP COM 15K 103 –
TESLA INC COM 45K 225 –
THE CIGNA GROUP COM 12K 35 –
TYLER TECHNOLOGIES INC COM 701K 1K –
UNDER ARMOUR INC CL C 79 12 –
UNIVERSAL TECHNICAL INST INC COM 2K 100 –
VANGUARD BD INDEX FDS TOTAL BND MRKT 49M 683K –
VANGUARD INDEX FDS EXTEND MKT ETF 10M 61K –
VANGUARD INDEX FDS GROWTH ETF 2M 5K –
VANGUARD INDEX FDS LARGE CAP ETF 19K 78 –
VANGUARD INDEX FDS MCAP VL IDXVIP 33K 218 –
VANGUARD INDEX FDS MID CAP ETF 2M 8K –
VANGUARD INDEX FDS REAL ESTATE ETF 1M 16K –
VANGUARD INDEX FDS S&P 500 ETF SHS 11M 21K –
VANGUARD INDEX FDS SM CP VAL ETF 379K 2K –
VANGUARD INDEX FDS SMALL CP ETF 3M 14K –
VANGUARD INDEX FDS TOTAL STK MKT 5M 20K –
VANGUARD INDEX FDS VALUE ETF 253K 2K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 2M 36K –
VANGUARD MUN BD FDS TAX EXEMPT BD 47M 929K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 10M 119K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 487K 6K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 9M 50K –
VANGUARD STAR FDS VG TL INTL STK F 2M 39K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 47M 955K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 111K 934 –
VANGUARD WHITEHALL FDS INTL DVD ETF 58K 716 –
VANGUARD WORLD FD ESG INTL STK ETF 2M 31K –
VANGUARD WORLD FD ESG US CORP BD 500K 8K –
VANGUARD WORLD FD ESG US STK ETF 2M 23K –
VANGUARD WORLD FD MEGA CAP INDEX 755K 4K –
VERIZON COMMUNICATIONS INC COM 12K 303 –
VISA INC COM CL A 19K 72 –
VUZIX CORP COM NEW 135 100 –
WELLS FARGO CO NEW COM 193K 3K –
WELLTOWER INC COM 33K 320 –
WESTERN MIDSTREAM PARTNERS L COM UNIT LP INT 4K 100 –
WESTROCK COFFEE CO COM 0 31 –
WHIRLPOOL CORP COM 1K 10 –
WISDOMTREE TR EUROPE HEDGED EQ 233K 5K –
YUM BRANDS INC COM 8K 62 –