{ "crd_number": 137497, "slug": "west-financial-services-inc-mclean-va-137497", "primary_business_name": "WEST FINANCIAL SERVICES, INC.", "legal_name": "WEST FINANCIAL SERVICES, INC.", "dbas": [], "city": "McLean", "state": "VA", "country": "United States", "cbsa_code": "47900", "metro": { "cbsa_code": "47900", "common_name": "Washington", "msa_name": "Washington-Arlington-Alexandria, DC-VA-MD-WV", "path": "/advisors/dc/washington" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2005-10-03", "years_registered": 20, "period": "2026-10-01", "filing_date": "2026-08-10", "carried_forward": false, "raum_total": 2836210165.0, "raum_discretionary": 2811298866.0, "raum_non_discretionary": 24911299.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 39, "advisory_employees": 22, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 741070.0, "count": 1, "fewer_than_5": true }, "individuals": { "raum": 148800818.0, "count": 394 }, "pension_profit_sharing": { "raum": 18748139.0, "count": 4 }, "high_net_worth_individuals": { "raum": 2531130449.0, "count": 546 }, "corporations_other_businesses": { "raum": 136789689.0, "count": 19 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "pension_consulting", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "IL", "LA", "MA", "MD", "MI", "MN", "NC", "NH", "NJ", "NY", "PA", "SC", "TN", "TX", "VA", "WV" ], "websites": [ "https://linkedin.com/COMPANY/WEST-FINANCIAL", "https://westfinancial.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/137497", "city_as_filed": "MCLEAN", "url": "https://advisorcensus.com/firm/west-financial-services-inc-mclean-va-137497", "display_name": "West Financial Services, Inc.", "summary": "West Financial Services, Inc. is an SEC-registered investment advisory firm in McLean, VA, registered since 2005, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated August 10, 2026.", "citation": "AdvisorCensus. West Financial Services, Inc. (CRD 137497): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Pension consulting services" ], "quick_answers": [ { "q": "How is West Financial Services, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), West Financial Services, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is West Financial Services, Inc. located?", "a": "West Financial Services, Inc.'s principal office is in McLean, VA, according to its Form ADV; the September 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is West Financial Services, Inc. registered with the SEC or a state?", "a": "West Financial Services, Inc. is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 137497." }, { "q": "How much does West Financial Services, Inc. manage?", "a": "West Financial Services, Inc. reports $2,836,210,165 in regulatory assets under management in its Form ADV filing dated August 10, 2026 (99% discretionary)." }, { "q": "How have West Financial Services, Inc.'s assets and staff changed since 2021?", "a": "In the Form ADV data for West Financial Services, Inc.: Regulatory assets under management: $1,942,511,133 in the October 2021 data and $2,836,210,165 in the October 2026 data, up 46%. Total employees: 35 in October 2021 and 39 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does West Financial Services, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (546); individuals (other than high net worth individuals) (394); corporations or other businesses not listed above (19)." }, { "q": "Which custodians does West Financial Services, Inc. use?", "a": "West Financial Services, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Distributors Company LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does West Financial Services, Inc. report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/137497" }, { "q": "What changed in West Financial Services, Inc.'s recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $2,574,623,952 to $2,836,210,165 (+10%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1942511133.0, "total_employees": 35, "filing_date": "2021-04-26" }, { "period": "2022-10-01", "regulatory_assets_under_management": 2283300433.0, "total_employees": 38, "filing_date": "2022-06-24" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1898689741.0, "total_employees": 38, "filing_date": "2023-07-11" }, { "period": "2024-10-01", "regulatory_assets_under_management": 2162441566.0, "total_employees": 37, "filing_date": "2024-06-17" }, { "period": "2025-10-01", "regulatory_assets_under_management": 2574623952.0, "total_employees": 38, "filing_date": "2025-06-13" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2836210165.0, "total_employees": 39, "filing_date": "2026-08-10" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $2,574,623,952 to $2,836,210,165 (+10%)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Fidelity Distributors Company LLC", "name_as_filed": "FIDELITY DISTRIBUTORS COMPANY LLC", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/west-financial-services-inc-mclean-va-137497.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 394, "fewer_than_5": false, "raum": 148800818.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 546, "fewer_than_5": false, "raum": 2531130449.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 4, "fewer_than_5": false, "raum": 18748139.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 1, "fewer_than_5": true, "raum": 741070.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 19, "fewer_than_5": false, "raum": 136789689.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/137497", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }