WESTCHESTER CAPITAL MANAGEMENT INC
Adviser information for WESTCHESTER CAPITAL MANAGEMENT INC last updated from Form ADV on February 9th, 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 | JUNE |
| Legal Location | Nebraska, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 612 | $452.5M |
| Non-Discretionary | 0 | $0 |
| Total | 612 | $452.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 285 | $68.0M |
| HNW Individuals | 163 | $327.4M |
| 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 | 10 | $30.1M |
| Charitable organizations | <5 | $1.6M |
| 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 | 14 | $25.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 59 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-28498 |
|---|---|
| SEC ERA File Number | 801-28498 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110961 |
| Legal Entity Identifier | None |
Principal Office
801 NORTH 96TH STOMAHA
NE
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 402-392-2418, Fax: 402-392-2166
Websites
Chief Compliance Officer
DONNA NELSON
EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER
801 NORTH 96TH STREET
OMAHA
NE
United States
Tel:
402.392.2418
Fax:
402.392.2166
D*****@*********************M
(Full email address available in API data)
Regulatory Contact
CINDY L. CHRISTENSEN
PRESIDENT/CEO
801 NORTH 96TH STREET
OMAHA
NE
United States
Tel:
402-392-2418
C*****@*********************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 |
|---|---|---|---|---|---|
| CHRISTENSEN, CINDY, LOU | Individual | – | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 02/2016 | > 75% |
| ERICKSON-NELSON, DONNA, CHARLOTTE | Individual | – | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT AND CHIEF OPERATING OFFICER | 09/2019 | < 5% |