{
  "crd_number": 134774,
  "slug": "witter-and-westlake-investments-134774",
  "primary_business_name": "WITTER & WESTLAKE INVESTMENTS",
  "legal_name": "WITTER & WESTLAKE INVESTMENTS, INC.",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2021-07-26",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 12677000.0,
  "raum_discretionary": 12677000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 2,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "individuals": {
      "raum": 6511000.0,
      "count": 19
    },
    "high_net_worth_individuals": {
      "raum": 6166000.0,
      "count": 3,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [
    "MI"
  ],
  "websites": [
    "https://witterwestlake.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/134774",
  "listing_state": "MI",
  "disclosure_items": [
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/witter-and-westlake-investments-134774",
  "display_name": "Witter & Westlake Investments",
  "summary": "Witter & Westlake Investments is a state-registered investment advisory firm, registered since 2021, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. Witter & Westlake Investments (CRD 134774): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Witter & Westlake Investments compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Witter & Westlake Investments reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Is Witter & Westlake Investments registered with the SEC or a state?",
      "a": "Witter & Westlake Investments is a state-registered investment advisory firm, registered since 2021. Status as filed: APPROVED. CRD 134774."
    },
    {
      "q": "How much does Witter & Westlake Investments manage?",
      "a": "Witter & Westlake Investments reports $12,677,000 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Witter & Westlake Investments serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (19); high net worth individuals (3)."
    },
    {
      "q": "Does Witter & Westlake Investments report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(4) (another regulator's order in the past ten years). 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/134774"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/witter-and-westlake-investments-134774.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 19,
      "fewer_than_5": false,
      "raum": 6511000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 3,
      "fewer_than_5": true,
      "raum": 6166000.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "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/134774",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}