WESTERN INTERNATIONAL SECURITIES
WESTERN INTERNATIONAL SECURITIES, INC. Legal Name
Adviser information for WESTERN INTERNATIONAL SECURITIES last updated from Form ADV on March 28th, 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 | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 461 |
|---|---|
| Investment Advisory/Research | 245 |
| Registered Broker-Dealer Representatives | 323 |
| Registered State Investment Advisers | 245 |
| Licensed Agents of an Insurance Company | 177 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 12,185 | $3.7B |
| Non-Discretionary | 12 | $7.7M |
| Total | 12,197 | $3.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 6,855 | $1.7B |
| HNW Individuals | 699 | $1.8B |
| 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 | 128 | $87.7M |
| Charitable organizations | 9 | $9.6M |
| 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 | 78 | $118.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1232 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 174.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CONTOUR | WESTERN INTERNATIONAL SECURITIES |
Principal Office
70 S. LAKE AVE.STE. 700
PASADENA
CA
United States
Monday - Friday, 7 A.M. - 5 P.M.
Tel: (888) 793-7717, Fax: (626) 793-7075
Chief Compliance Officer
LAURA WHITE
ADVISORY CHIEF COMPLIANCE OFFICER
10150 MEANLEY DRIVE
1ST FLOOR
SAN DIEGO
CA
United States
Tel:
315-609-7891
Fax:
315-234-0404
L**********@**************M
(Full email address available in API data)
Regulatory Contact
MARY SIMONSON
CHIEF COMPLIANCE OFFICER
70 S. LAKE AVE.
SUITE 700
PASADENA
CA
United States
Tel:
315-512-9811
Fax:
315-234-0404
M************@**************M
(Full email address available in API data)
Industry Affiliates
| CADARET GRANT & CO INC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| CFS INSURANCE AND TECHNOLOGY SERVICES, LLC | Insurance company or agency |
| CUSO FINANCIAL SERVICES, L.P. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| GROVE POINT ADVISORS, LLC | Other investment adviser, including financial planners |
| GROVE POINT INVESTMENTS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| NEXT FINANCIAL GROUP, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| NEXT FINANCIAL INSURANCE SERVICES COMPANY | Insurance company or agency |
| SCF INVESTMENT ADVISORS, INC. | Other investment adviser, including financial planners |
| SCF SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| SORRENTO PACIFIC FINANCIAL, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ATRIA WEALTH SOLUTIONS INC. | Domestic Entity | AWS 7, INC. | SHAREHOLDER | 10/2019 | > 75% |
| ATRIA WEALTH SOLUTIONS HOLDINGS LLC | Domestic Entity | ATRIA WEALTH SOLUTIONS, INC. | SHAREHOLDER | 04/2018 | > 75% |
| CONCEPT BROKERAGE HOLDING CORPORATION | Domestic Entity | – | HOLDING COMPANY | 04/1995 | > 75% |
| AWS 7, INC. | Domestic Entity | CONCEPT BROKERAGE HOLDING CORPORATION | SHAREHOLDER | 04/2020 | > 75% |
| LEP ATRIA HOLDINGS, LLC | Domestic Entity | ATRIA WEALTH SOLUTIONS HOLDINGS, LLC | MEMBER SERIES A UNITS | 08/2017 | 50-75% |
| LEE EQUITY PARTNERS FUND II, LP | Domestic Entity | LEP ATRIA HOLDINGS, LLC | MEMBER | 07/2017 | 25-50% |
| LEE EQUITY PARTNERS II GP, LLC | Domestic Entity | LEE EQUITY PARTNERS FUND II, LP | GENERAL PARTNER | 09/2015 | |
| DOVER STREET VIII LP | Domestic Entity | LEE EQUITY PARTNERS FUND II, LP | LIMITED PARTNER | 03/2016 | 25-50% |
| LEE EQUITY PARTNERS FUND II(A), LP | Domestic Entity | LEP ATRIA HOLDINGS, LLC | MEMBER | 07/2017 | 50-75% |
| LEE EQUITY PARTNERS II GP, LLC | Domestic Entity | LEE EQUITY PARTNERS FUND II(A), LP | GENERAL PARTNER | 09/2015 | |
| ALPINVEST PARTNERS SECONDARY INVESTMENTS 2014 I C.V | Foreign Entity | LEE EQUITY PARTNERS FUND II(A), LP | LIMITED PARTNER | 03/2016 | 25-50% |
| MORRISSEY, WILLIAM PAUL | Individual | – | PRESIDENT | 05/2023 | < 5% |
| TYMKIW, TRISHA LYNN | Individual | – | FINOP | 05/2023 | < 5% |
| WHITE, LAURA NICOLE | Individual | – | ADVISORY CHIEF COMPLIANCE OFFICER | 11/2023 | < 5% |
| SIMONSON, MARY KATHRYN | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |