WESTWOOD WEALTH MANAGEMENT
WESTWOOD ADVISORS, L.L.C Legal Name
Adviser information for WESTWOOD WEALTH MANAGEMENT last updated from Form ADV on March 29th, 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 | Nebraska, United States |
Employees
| Total Number of Employees | 68 |
|---|---|
| Investment Advisory/Research | 25 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 383 | $433.3M |
| Non-Discretionary | 0 | $0 |
| Total | 383 | $433.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 151 | $38.4M |
| HNW Individuals | 55 | $159.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 10 | $221.0M |
| Pension and profit sharing plans | 30 | $1.8M |
| Charitable organizations | <5 | $809,124 |
| 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 | 133 | $12.0M |
| Other | 1 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesROBO ADVISORY PLATFORM |
|---|---|
| Compensation | % of AUMFixed feesCommissionsPerformance-based fees |
| Other Business Activities | Registered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-63410 |
|---|---|
| SEC ERA File Number | 801-63410 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132162 |
| Legal Entity Identifier | None |
Principal Office
200 CRESCENT COURTSUITE 1200
DALLAS
TX
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 2147566900, Fax: 2147566979
Websites
Chief Compliance Officer
JOHN A. EHINGER, JR.
SVP, HEAD OF LEGAL, CCO
200 CRESCENT COURT
SUITE 1200
DALLAS
TX
United States
Tel:
214-750-2286
Fax:
214-756-6979
J*******@****************M
(Full email address available in API data)
Regulatory Contact
JONATHAN R. NAHHAT
VP, SENIOR LEGAL COUNSEL
200 CRESCENT COURT
SUITE 1200
DALLAS
TX
United States
Tel:
214-624-9623
Fax:
214-756-6979
J******@****************M
(Full email address available in API data)
Industry Affiliates
| BROADMARK ASSET MANAGEMENT LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| SALIENT ADVISORS, L.P. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| SALIENT CAPITAL L.P. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SALIENT ZARVONA II-A GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SALIENT ZARVONA II-B GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SALIENT ZARVONA II-C GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| WESTWOOD MANAGEMENT CORP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| WESTWOOD TRUST | Trust company |
| WHG PF HOLDCO, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SALIENT MLP TOTAL RETURN FUND TE, L.P. | Hedge Fund | $29.1M | $0.3M | 23 |
| SALIENT MLP TOTAL RETURN FUND, L.P. | Hedge Fund | $136.2M | $0.3M | 219 |
| WESTWOOD ENERGY SECONDARIES FUND I LLC | Private Equity Fund | $34.3M | $0.3M | 62 |
| WESTWOOD FORMENTERA PARTNERS FUND II, LLC | Private Equity Fund | $7.6M | $0.3M | 19 |
| WESTWOOD HOSPITALITY FUND LLC | Real Estate Fund | $5.7M | $0.3M | 19 |
| WESTWOOD LEGALIST DIP FUND III, LLC | Private Equity Fund | $1.5M | $0.1M | 6 |
| WESTWOOD TECHNOLOGY OPPORTUNTITIES FUND I, LP | Private Equity Fund | $1.7M | $0.3M | 10 |
| WESTWOOD VELOCIS FUND III, LLC | Private Equity Fund | $1.0M | $0.1M | 7 |
| WESTWOOD VELOCIS INDUSTRIAL FUND, LLC | Private Equity Fund | $1.3M | $0.1M | 7 |
| WESTWOOD VELOCIS SECONDARY PARTNERS III, LLC | Private Equity Fund | $2.7M | $0.1M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WESTWOOD HOLDINGS GROUP, INC. | Domestic Entity | – | OWNER | 11/2010 | > 75% |
| EHINGER, JOHN, A | Individual | – | HEAD OF LEGAL, CCO | 03/2023 | < 5% |
| GOMEZ, FABIAN | Individual | – | PRESIDENT | 02/2018 | < 5% |
| FORBES, MURRAY | Individual | – | SVP, CHIEF FINANCIAL OFFICER, TREASURER | 11/2018 | < 5% |
| Meyer, Jill, D | Individual | – | MANAGING MEMBER | 05/2021 | < 5% |
| BENNETT, LEAH, REBECCA | Individual | – | PRESIDENT, WESTWOOD WEALTH MANAGEMENT | 05/2022 | < 5% |
| Rogers, Timothy | Individual | – | CHIEF WEALTH ADMINISTRATIVE OFFICER | 01/2023 | < 5% |