{"url":"https://nivawealth.com/firms/westmont-advisory-343407","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/343407","regulatoryAum":100000000,"crd":"343407","secFileNumber":"801-136996","legalName":"Westmont Advisory, LLC","displayName":"Westmont Advisory","slug":"westmont-advisory-343407","website":"https://westmontadvisory.co/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Texas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"870 International Pkwy, Ste 180","city":"Flower Mound","state":"TX","stateName":"Texas","country":"United States","postalCode":"75022"},"tradeNames":[],"registration":{"secApproved":"5 August 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":14285714.285714285,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":100000000,"discretionary":100000000,"discretionaryAccounts":7,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":7,"regulatoryAum":100000000}],"feePrograms":[{"role":"main","program":"Advisory Fee","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059428","versionId":1059428,"ratePeriod":"annual","fee_billing":"both","submittedOn":"2026-09-29","documentName":"WESTMONT ADVISORY FIRM BROCHURE","fee_rate_low":3,"fee_rate_high":3,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T18:18:29.707954+00:00","documents":[{"name":"WESTMONT ADVISORY FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059428","versionId":1059428,"submittedOn":"2026-09-29"}]},"custodians":[],"custodyNote":"Westmont Advisory does not have custody of client assets.","leadership":[],"ownership":[],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"870 International Pkwy, Ste 180","city":"Flower Mound","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"214-433-7354","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":100}],"privateFunds":0},"sources":{"adv1FilingDate":"29 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/343407/PDF/343407.pdf","brochureDate":"29 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059428","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Westmont Advisory have?","answer":"Westmont Advisory has 7 clients and manages $100 million for them, as of September 2026. They include 7 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Westmont Advisory offer?","answer":"Westmont Advisory provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Westmont Advisory charge?","answer":"Westmont Advisory charges 3.00% a year for its Advisory Fee. The fee is billed in advance or in arrears and is negotiable.","source":"WESTMONT ADVISORY FIRM BROCHURE, filed 29 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Westmont Advisory have?","answer":"Westmont Advisory has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Westmont Advisory invest in?","answer":"At the end of its last fiscal year, Westmont Advisory’s separately managed accounts held 100% registered funds (mutual funds, ETFs, BDCs).","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How does Westmont Advisory get paid?","answer":"Westmont Advisory is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Westmont Advisory registered with the SEC?","answer":"Yes, Westmont Advisory has been registered with the SEC as an investment adviser since 5 August 2026. Its CRD number is 343407 and its SEC file number is 801-136996.","source":"Form ADV Part 1A, Item 1, filed 29 September 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Westmont Advisory?","answer":"Westmont Advisory’s main office is at 870 International Pkwy, Ste 180, Flower Mound, TX 75022. Its phone number is 214-433-7354. Its website is westmontadvisory.co.","source":"Form ADV Part 1A, Item 1.F, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}