Westside Investment Management, Llc
- Regulatory AUM
- $889M
- Discretionary
- $889M
- Clients
- 890
- Avg AUM / client
- $999K
- Accounts
- 755
- Employees
- 14
AUM over time
Annual snapshots from Form ADV filings · as of Feb 27, 2026
Investments (13F portfolio — 1,477 positions, $652,673,362)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Vanguard High | ETF | $23,994,934 | 162,017 | 3.68% | 2.7% |
| 2 | Apple Inc | COM | $23,466,937 | 92,069 | 3.6% | 2.64% |
| 3 | Vanguard Total | ETF | $18,509,157 | 57,691 | 2.84% | 2.08% |
| 4 | Invesco Qqq | ETF | $17,664,435 | 30,581 | 2.71% | 1.99% |
| 5 | Tutor Perini | COM | $16,891,647 | 218,832 | 2.59% | 1.9% |
| 6 | Alphabet Inc | COM | $13,611,408 | 47,074 | 2.09% | 1.53% |
| 7 | Amazon Com | COM | $12,434,603 | 59,551 | 1.91% | 1.4% |
| 8 | Eton Pharmaceuticals | COM | $11,548,309 | 467,915 | 1.77% | 1.3% |
| 9 | Ishares Core | ETF | $10,515,975 | 116,143 | 1.61% | 1.18% |
| 10 | Microsoft Corp | COM | $10,502,056 | 28,312 | 1.61% | 1.18% |
| 11 | Alphabet Inc | COM | $9,181,386 | 31,715 | 1.41% | 1.03% |
| 12 | Ishares Core | ETF | $9,105,672 | 91,727 | 1.4% | 1.02% |
| 13 | Meta Platforms | COM | $8,881,046 | 15,510 | 1.36% | 1.0% |
| 14 | Uber Technologies | COM | $8,493,623 | 118,110 | 1.3% | 0.96% |
| 15 | Nvidia Corp | COM | $8,228,190 | 46,613 | 1.26% | 0.93% |
| 16 | Broadcom Inc | COM | $7,875,702 | 25,234 | 1.21% | 0.89% |
| 17 | Vanguard Consumer | ETF | $7,723,929 | 21,526 | 1.18% | 0.87% |
| 18 | Spdr Gold | COM | $7,488,071 | 17,403 | 1.15% | 0.84% |
| 19 | Vanguard Dividend | ETF | $6,976,102 | 32,421 | 1.07% | 0.78% |
| 20 | Pitney Bowes | COM | $6,784,859 | 614,014 | 1.04% | 0.76% |
| 21 | Harrow Inc | COM | $6,555,815 | 185,926 | 1.0% | 0.74% |
| 22 | Coherent Corp | COM | $6,470,213 | 27,151 | 0.99% | 0.73% |
| 23 | Avantis U S | ETF | $6,208,605 | 56,161 | 0.95% | 0.7% |
| 24 | Capital Group | ETF | $6,178,955 | 179,565 | 0.95% | 0.7% |
| 25 | Ishares Core | ETF | $5,986,964 | 129,617 | 0.92% | 0.67% |
Top 25 of 1,477 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 474 | $99.0M | 11.1% |
| High net worth individuals | 365 | $663M | 74.6% |
| Pension and profit sharing plans | 31 | $25.4M | 2.85% |
| Charitable organizations | 8 | $3.3M | 0.37% |
| Corporations and other businesses | 12 | $98.0M | 11.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Chickasaw Holding Company Employees' 401(k) Plan Chickasaw Holding Company | Sulphur, OK | 2024 |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Michael Frawley | Chief Compliance Officer | Chartered Financial Consultant | Jun 2010 (16y) | ≈ 37.5% – 75% via Frawley Capital Management, Inc. |
| David Todd Clark | Shareholder | Aug 2010 (16y) | ≈ 37.5% – 75% via Dtc Investment Management Inc. | |
| Mark Leonard Cohen | Registered representative | Aug 2010 (16y) | ||
| Vetea Jonathan Ribet | Registered representative | Aug 2010 (16y) | ||
| Sky Brent Rylant | Registered representative | Oct 2012 (14y) | ||
| Noah A Cornish | Registered representative | Jan 2014 (13y) | ||
| Sienna Pualani Yoshida | Registered representative | Jan 2014 (13y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Frawley Capital Management, Inc. | Member | Feb 2022 | A | 50% – 75% |
| Dtc Investment Management Inc. | Member | Feb 2022 | A | 50% – 75% |
Estimated effective ownership (look-through of filed bands):
- James Michael Frawley: 75% – 100% of Frawley Capital Management, Inc. × 50% – 75% direct ≈ 37.5% – 75% of the firm
- David Todd Clark: 75% – 100% of Dtc Investment Management Inc. × 50% – 75% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Chickasaw Holding Company Employees' 401(k) Plan | Chickasaw Holding Company | 197 | $38.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/27/2026 | 943 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- LPL Financial $741M (83% of AUM) Feb 2026
- Charles Schwab & Co. $138M (15% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 27, 2026.
View current Form ADV (SEC/IAPD) ↗