# The Westchester Group, LLC

> The Westchester Group, LLC is an SEC-registered investment advisory firm, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 11, 2026.

- CRD: 288959
- Filed as: THE WESTCHESTER GROUP, LLC
- Also doing business as: THE WESTCHESTER GROUP LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: March 11, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/288959
- AdvisorCensus page: https://advisorcensus.com/firm/the-westchester-group-llc-288959

## Quick answers

**How is The Westchester Group, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), The Westchester Group, LLC reports these compensation arrangements: a percentage of assets under its management.

**How much does The Westchester Group, LLC charge?**
Its Form ADV Part 2A brochure dated March 11, 2026 states: Up to $10,000,000: 0.6% a year; $10,000,001 to $20,000,000: 0.4% a year; $20,000,001 to $50,000,000: 0.3% a year; Above $50,000,001: 0.15% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Is The Westchester Group, LLC registered with the SEC or a state?**
The Westchester Group, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 288959.

**How much does The Westchester Group, LLC manage?**
The Westchester Group, LLC reports $187,923,640 in regulatory assets under management in its Form ADV filing dated March 11, 2026 (27% discretionary).

**How have The Westchester Group, LLC's assets and staff changed since 2021?**
In the Form ADV data for The Westchester Group, LLC: Regulatory assets under management: $169,484,109 in the October 2021 data and $187,923,640 in the October 2026 data, up 11%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does The Westchester Group, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (13); corporations or other businesses not listed above (10).

**Does The Westchester Group, LLC report any disciplinary disclosures?**
Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.E(1) (self-regulatory organization's finding of a false statement or omission), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/288959

**Does The Westchester Group, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 11, 2026 says: "Westchester does not generally impose a minimum portfolio value."

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 11, 2026)

- Up to $10,000,000: 0.6% a year
- $10,000,001 to $20,000,000: 0.4% a year
- $20,000,001 to $50,000,000: 0.3% a year
- Above $50,000,001: 0.15% a year

> The annual rates are as follows: Assets Under Management Annual Rate $0.00 - $10,000,000 0.60% $10,000,001 - $20,000,000 0.40% $20,000,001 - $50,000,000 0.30% Over $50,000,001 0.15%

- Account minimum: None

> Westchester does not generally impose a minimum portfolio value.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $187,923,640
- Discretionary: $50,283,714
- Non-discretionary: $137,639,926

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Fewer than 5 | $0 |
| High net worth individuals | 13 | $10,322,525 |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $0 |
| Charitable organizations | Fewer than 5 | $0 |
| State or municipal government entities (including government pension plans) | Fewer than 5 | $177,601,115 |
| Other investment advisers | Fewer than 5 | $0 |
| Insurance companies | Fewer than 5 | $0 |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | $0 |
| Corporations or other businesses not listed above | 10 | Not reported |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2018 (8 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MI, OH
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(1): Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/288959

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $169,484,109 | 2 | January 14, 2021 |
| October 2022 | $181,328,897 | 2 | February 10, 2022 |
| October 2023 | $156,390,805 | 2 | March 27, 2023 |
| October 2024 | $166,549,970 | 2 | March 29, 2024 |
| October 2025 | $181,306,015 | 2 | March 25, 2025 |
| October 2026 | $187,923,640 | 2 | March 11, 2026 |

Regulatory assets under management: $169,484,109 in the October 2021 data and $187,923,640 in the October 2026 data, up 11%.
Total employees: 2 in October 2021 and 2 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. The Westchester Group, LLC (CRD 288959): Form ADV filing data as of October 2026.