WESTEND CAPITAL MANAGEMENT, LLC.

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	California, United States

Employees

Total Number of Employees	4
Investment Advisory/Research	2
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	1
Licensed Agents of an Insurance Company	2
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	331	$232.9M
Non-Discretionary	0	$0
Total	331	$232.9M

Clients

Type	Number	RAUM
Individuals	80	$176.1M
HNW Individuals	62	$52.0M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	1	$3.5M
Pension and profit sharing plans	1	$1.3M
Charitable organizations	1	$58,311
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 businessesPortfolio management for pooled investment vehicles
Compensation	% of AUMPerformance-based fees
Other Business Activities	Insurance broker or agentFINANCIAL PLANNER

Identifiers

SEC RIA File Number	801-61128
SEC ERA File Number	801-61128
SEC CIK Numbers	1331997
SEC CRD Numbers	120545
Legal Entity Identifier	None

Principal Office

ONE HARBOR DRIVE
SUITE 300
SAUSALITO
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic