SEC-registered wealth management firm Broker-dealer affiliated
West Financial Services, Inc.
As of its Form ADV filed August 10, 2026, West Financial Services, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in McLean, Virginia, reported $2.8 billion in regulatory assets under management across 2,766 accounts, ranking #13 among all wealth firms in Virginia by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 137497
- SEC file number
- 801-64834
- Registered since
- October 3, 2005
- Latest Form ADV filing
- August 10, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $2.8 billion
- Discretionary
- $2.8 billion (99.1%)
- Non-discretionary
- $24.9 million
- Accounts
- 2,766 (2,709 discretionary)
- Clients
- 1,007, approximate as reported
- Employees
- 39
- Advisory staff
- 22 performing investment advisory functions
- Average account
- $1.0 million
- Asset growth, 1 year
- 10.2% (from $2.6 billion a year earlier)
- Asset growth, 3-year annual rate
- 14.3% (from $1.9 billion three years earlier)
- Asset growth, 5-year annual rate
- 7.9% (from $1.9 billion five years earlier)
- Client growth, 1 year
- 4.7% (from 962)
Broker-dealer affiliated. The firm is affiliated with a bank (Item 7.A(8)) that is part of a group with a broker-dealer (Item 7.A(1)) or controlled by a public company (Schedule D, Item 10.A). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $729.9 million |
| October 3, 2011 | $773.2 million |
| October 1, 2012 | $806.6 million |
| October 1, 2013 | $839.9 million |
| October 1, 2014 | $984.6 million |
| October 1, 2015 | $1.0 billion |
| October 3, 2016 | $1.1 billion |
| October 2, 2017 | $1.2 billion |
| October 1, 2018 | $1.4 billion |
| October 1, 2019 | $1.5 billion |
| October 1, 2020 | $1.7 billion |
| October 4, 2021 | $1.9 billion |
| October 3, 2022 | $2.3 billion |
| October 5, 2023 | $1.9 billion |
| October 1, 2024 | $2.2 billion |
| September 2, 2025 | $2.6 billion |
| October 2, 2026 | $2.8 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 546 clients | $2.5 billion | |
| Individuals (other than high net worth) 394 clients | $148.8 million | |
| Corporations or other businesses 19 clients | $136.8 million | |
| Pension and profit sharing plans 4 clients | $18.7 million | |
| Charitable organizations fewer than 5 clients | $741,070 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Pension consulting
Financial planning clients (Item 5.H): 26-50.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Other investment adviser
- Banking or thrift institution
- Trust company
Custody (Item 9)
The firm reported custody of client cash or securities, $978.1 million in total.
Investment adviser representatives
- IARs registered with the firm
- 22
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 22
Designations held by the firm's IARs: CFP 8, CFA 6.
7 of the firm's 22 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Virginia
| Firm | City | RAUM |
|---|---|---|
| Bogart Wealth, LLC | McLean | $3.2 billion |
| Rembert Pendleton Jackson | Vienna | $2.7 billion |
| Glassman Wealth Services, LLC | Vienna | $2.6 billion |
| Capitol Securities Management, Inc. | Glen Allen | $2.2 billion |
| Navy Federal Investment Services, LLC | Vienna | $2.1 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- West Financial Services, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.westfinancial.com
- Wealth management firms in Virginia
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.