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WESTEND ADVISORS, LLC

CHARLOTTE, NC · CRD 133279 · IAPD ↗ · 704-556-9300

$1.87BRegulatory AUM
7Advisory reps
29Employees
18Clients
n/aPlanning clients
0Private funds
53States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
October 2026 — WESTEND ADVISORS, LLC (CHARLOTTE, NC) left the SEC roster (was $1.87B RAUM, 7 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
47
February 2025 — WESTEND ADVISORS, LLC notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.