WESTWARD INVESTMENT ADVISORY
WESTWARD INVESTMENT ADVISORY, LLC Legal Name
Adviser information for WESTWARD INVESTMENT ADVISORY last updated from Form ADV on March 22nd, 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 | Kansas, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 3 |
| 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 | 34 | $52.8M |
| Non-Discretionary | 19 | $344.6M |
| Total | 53 | $397.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 4 | $1.1M |
| HNW Individuals | 10 | $390.8M |
| 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 | <5 | $2.3M |
| 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 | <5 | $3.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCONSULTING SERVICES FOR FEE FOR SERVICE BASIS |
Identifiers
| SEC RIA File Number | 801-118800 |
|---|---|
| SEC ERA File Number | 801-118800 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 281742 |
| Legal Entity Identifier | None |
Principal Office
4200 W. 83RD STREETSUITE 101
PRAIRIE VILLAGE
KS
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 414-716-6300, Fax: None
Websites
Chief Compliance Officer
CASEY MCLINEY
MANAGING MEMBER/MANAGING DIRECTOR
4200 W. 83RD STREET
SUITE 101
PRAIRIE VILLAGE
KS
United States
Tel:
414-716-6300
C*******@*********************M
(Full email address available in API data)
Regulatory Contact
JAMES HOLCOMB
MANAGING MEMBER/MANAGING DIRECTOR/CEO
11414 WEST PARK PLACE
SUITE 202
MILWAUKEE
WI
United States
Tel:
414-716-6300
J*******@*********************M
(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 |
|---|---|---|---|---|---|
| MCLINEY, CASEY, PATRICK | Individual | – | MANAGING MEMBER/MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | 11/2015 | 50-75% |
| HOLCOMB, JAMES, MICHAEL | Individual | – | MANAGING MEMBER/MANAGING DIRECTOR/CEO | 11/2015 | 25-50% |