WESTERN INTERNATIONAL SECURITIES
Latest filing: Jun 16, 2025 (182 days ago)
AUM
$3,512,564,746
-5% change vs. 1 year ago
-11% change vs. 3 years ago
35% change vs. 5 years ago
134% change vs. 10 years ago
Employee Count
407
-12% change vs. 1 year ago
36% change vs. 3 years ago
578% change vs. 5 years ago
1063% change vs. 10 years ago
Main Office
PASADENA, CA
70 S. LAKE AVE., PASADENA, CA, UNITED STATES, 91101
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $3.5 |
| Non-Discretionary | $0.0 |
| Total | $3.5 |
| Client | AUM |
|---|---|
| Retail | $3.3 |
| Pooled | $0.0 |
| Institutional | $0.2 |
| Total | $3.5 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 6,054 | $1.6 |
| Average Individual AUM | $258,291 | |
| HNW | 702 | $1.7 |
| Average HNW AUM | $2,464,276 | |
| Retail Total | 6,756 | $3.3 |
| Average Retail AUM | $487,510 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $2.7 |
| CHARLES SCHWAB & CO., INC. | WESTLAKE-TX-USA | $0.6 |
| PERSHING LLC | JERSEY CITY-NJ-USA | $0.4 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $3.5 |
| Retail SMA AUM | $3.3 |
| Institutional SMA AUM | $0.2 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 34% | $1.2 |
| Equity Non-Exch | 1% | $0.0 |
| Govt Agency | 2% | $0.1 |
| Municipal | 1% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 52% | $1.8 |
| Other Pools | 0% | $0.0 |
| Cash | 9% | $0.3 |
| Other | 0% | $0.0 |
| Total | 100% | $3.5 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| CADARET, GRANT & CO., INC. | $7.7 | broker-dealer | 10641 |
| CUSO FINANCIAL SERVICES, L.P. | $5.4 | broker-dealer | 42132 |
| NEXT FINANCIAL GROUP, INC. | $3.8 | broker-dealer | 46214 |
| GROVE POINT ADVISORS, LLC | $2.5 | 313171 | |
| SCF INVESTMENT ADVISORS, INC. | $1.3 | 123608 | |
| SORRENTO PACIFIC FINANCIAL, LLC | $0.2 | broker-dealer | 127787 |
| NEXT FINANCIAL INSURANCE SERVICES COMPANY | $0.0 | - | |
| SCF SECURITIES, INC. | $0.0 | broker-dealer | 47275 |
| CFS INSURANCE AND TECHNOLOGY SERVICES, LLC | $0.0 | - | |
| GROVE POINT INVESTMENTS, LLC | $0.0 | broker-dealer | 1763 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
Representatives
235 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| CATHIE CALLAHAN D'ITRI | PASADENA | CA | S63|1992-09-25|S66|2004-06-02 | ||||||
| THOMAS SWAN | PASADENA | CA | S63|1987-07-15|S66|2014-10-13 | ||||||
| ANDREW MARTZ | PASADENA | CA | S66|2006-09-07 | CERTIFIED FINANCIAL PLANNER | |||||
| STEVEN RICHARDS | PASADENA | CA | S63|1997-06-02 | ||||||
| MARK ROSENBERG | PASADENA | CA | S63|1983-03-15|S65|2013-07-31 | ||||||
| EDWARD WINSLOW | PASADENA | CA | S63|1983-01-18|S65|1993-12-02 | ||||||
| LISA-ANN NOUCHI | PASADENA | CA | S63|1993-09-09|S65|1995-08-21 | ||||||
| JOSIAH BALL | PASADENA | CA | S63|2018-08-31|S65|2019-04-06 | ||||||
| KEVIN KELLY | PASADENA | CA | S63|1981-12-28|S65|1996-12-19|S66|2010-06-28 | CERTIFIED FINANCIAL PLANNER | |||||
| ANDREW SCHEXNAYDRE | PASADENA | CA | S66|2005-01-05 | ||||||
| LAURIE LUJAN | PASADENA | CA | S63|1999-01-05|S65|1999-01-28 | ||||||
| ROBERT JOHNSTON | PASADENA | CA | S63|1987-03-13|S65|1996-02-26 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL CONSULTANT | |||||
| CECILIA TENNER | PASADENA | CA | S65|2022-06-17 | ||||||
| CESAR GARCIA | PASADENA | CA | S63|2001-08-17|S66|2003-10-27 | ||||||
| RICHARD MYERS | PASADENA | CA | S63|1983-03-08|S65|2000-10-02 | ||||||
| WAEL ZOROB | PASADENA | CA | S63|2010-02-16|S66|2012-04-26 | ||||||
| ISELA ORTEGA-WU | PASADENA | CA | S66|2006-07-10 | ||||||
| JEN LEE | PASADENA | CA | S63|1991-04-10|S65|2002-03-14 | ||||||
| MARK KATZ | PASADENA | CA | S63|1998-07-01|S65|2004-05-14 | ||||||
| TONI IANNARELLI | PASADENA | CA | S63|2003-07-30|S66|2012-01-17 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $3.5 | $0.0 | 0% | 407 | 0 | 0% |
| 2025-04-21 | $3.5 | $0.0 | 0% | 407 | 0 | 0% |
| 2024-04-02 | $3.7 | -$0.2 | -5% | 461 | -54 | -12% |
| 2023-04-04 | $3.5 | $0.0 | 1% | 424 | -17 | -4% |
| 2022-04-01 | $4.0 | -$0.5 | -11% | 300 | 107 | 36% |
| 2021-04-05 | $3.2 | $0.3 | 8% | 60 | 347 | 578% |
| 2020-04-01 | $2.6 | $0.9 | 35% | 60 | 347 | 578% |
| 2019-04-01 | $1.8 | $1.7 | 91% | 55 | 352 | 640% |
| 2018-04-02 | $1.8 | $1.7 | 95% | 48 | 359 | 748% |
| 2017-04-01 | $1.0 | $2.5 | 262% | 35 | 372 | 1063% |
| 2016-04-01 | $0.9 | $2.6 | 290% | 35 | 372 | 1063% |
| 2015-04-01 | $1.5 | $2.0 | 134% | 35 | 372 | 1063% |
| 2014-04-01 | $1.3 | $2.2 | 165% | 30 | 377 | 1257% |
| 2013-04-01 | $0.9 | $2.7 | 310% | 30 | 377 | 1257% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CA, AK-03/31/2008, AL-11/21/2016, AR-11/07/2012, AZ-03/31/2008, CA-07/30/2007, CO-03/31/2008, CT-03/31/2008, DC-04/05/2010, DE-04/02/2014, FL-03/31/2008, GA-03/31/2008, HI-03/31/2008, IA-04/03/2008, ID-05/07/2018, IL-03/31/2008, IN-03/31/2008, KS-10/13/2014, KY-05/18/2021, LA-08/27/2014, MA-03/31/2008, MD-03/31/2008, ME-11/07/2012, MI-03/31/2008, MN-03/31/2008, MO-01/13/2012, MS-03/31/2023, MT-01/13/2012, NC-03/31/2008, ND-02/09/2021, NE-10/03/2017, NH-12/14/2016, NJ-04/03/2008, NM-01/13/2012, NV-03/31/2008, NY-03/31/2008, OH-03/31/2008, OK-10/29/2013, OR-03/31/2008, PA-03/31/2008, PR-03/28/2024, RI-03/13/2012, SC-01/13/2012, SD-06/14/2019, TN-03/31/2008, TX-03/31/2008, UT-03/31/2008, VA-03/31/2008, VI-07/29/2019, VT-10/24/2016, WA-03/31/2008, WI-05/13/2009, WV-03/30/2020, WY-10/03/2017 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION |
| OTHER ACTIVITIES |
|
BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV