Westward Investment Advisory provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.
Westward Investment Advisory reports 20 clients. They include 9 high-net-worth individuals, 7 individual clients, and 3 corporations and other businesses. Of its assets, 22.1% ($126M across 26 accounts) are managed with discretion; $445M across 35 accounts are not. It advised 1 client without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 35% | <1% |
| High-net-worth individuals | 45% | 98% |
| Charitable organizations | 5% | <1% |
| Corporations and other businesses | 15% | 1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 7 | $4.34M | 0.8% | $620K |
| High-net-worth individuals | 9 | $557M | 97.5% | $61.9M |
| Charitable organizations | Fewer than 5 | $2.64M | 0.5% | $2.64M |
| Corporations and other businesses | Fewer than 5 | $7.28M | 1.3% | $2.43M |
| Total | 20 | $572M | 100% | — |
- Clients
- 7
- Regulatory AUM
- $4.34M
- AUM share
- 0.8%
- Avg. per client
- $620K
- Clients
- 9
- Regulatory AUM
- $557M
- AUM share
- 97.5%
- Avg. per client
- $61.9M
- Clients
- Fewer than 5
- Regulatory AUM
- $2.64M
- AUM share
- 0.5%
- Avg. per client
- $2.64M
- Clients
- Fewer than 5
- Regulatory AUM
- $7.28M
- AUM share
- 1.3%
- Avg. per client
- $2.43M
Total
- Clients
- 20
- Regulatory AUM
- $572M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 1
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Westward Investment Advisory charges 0.30%–1.00% for its Portfolio Management. The brochure does not state whether the rate is annual. The fee is negotiable. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Consulting
- Consulting services can be charged on an hourly basis, quarterly in advance, as agreed with the client and stated in the client agreement.
- Financial Planning
- Financial planning is quoted and charged on a fee-for-service basis; generally 50% of the estimated fee is paid in advance, with the rest due on completion.
Casey McLiney owns 50% to 75% of Westward Investment Advisory. The leadership team of Westward Investment Advisory includes Chief Compliance Officer Casey McLiney. It has 5 employees, 3 of them in advisory roles.
Leadership
- Casey McLineyManaging Member/Managing Director/Chief Compliance Officer
- James HolcombManaging Member/Managing Director/CEO
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
- James Michael Holcomb
- Ryan Phillip McLaughlin
- Dale R Pfeifer
Staff
- 5 employees
- 3 in advisory functions
- 3 state-registered reps
- 1 broker-dealer rep
- Owns 50% to 75% of Westward Investment Advisory, LLC
Casey McLiney
Control person · since November 2015
- Owns 25% to 50% of Westward Investment Advisory, LLC
James Holcomb
Control person · since November 2015
Westward Investment Advisory’s regulatory assets grew 2.7× from $208M (March 2021) to $572M (March 2026); clients fell from 26 to 20 and employees were 5 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $572M | 20 | 5 | 2 |
| March 2025 | $490M | 15 | 5 | 2 |
| May 2024 | $397M | 14 | 5 | 2 |
| March 2023 | $327M | 15 | 5 | 2 |
| March 2022 | $289M | 16 | 5 | 2 |
| March 2021 | $208M | 26 | 5 | 2 |
Besides its headquarters, Westward Investment Advisory has 1 office, with 2 listed addresses in Kansas and Wisconsin.
Kansas · 1 listed address
- 5201 Johnson Drive, Suite 410, MissionHQ
Wisconsin · 1 listed address
- 11414 W Park Place, Milwaukee
Contact and registration details
- Legal name
- Westward Investment Advisory, LLC
- Headquarters
- 5201 Johnson Drive, Suite 410, Mission, KS 66205
- Website
- westwardinvestment.com
- Phone
- 414-716-6300
- @westward-investment-advisory
- SEC file
- 801-118800
- Structure
- Kansas LLC
- Fiscal year end
- December
Westward Investment Advisory uses Morgan Stanley ($279M, 56%) and Robert W. Baird & Co. ($219M, 44%) as custodians for its separately managed accounts. Westward Investment Advisory does not have custody of client assets.
- Morgan StanleyMorgan Stanley Smith Barney LLC · Purchase, NY · $279M56%
- Robert W. Baird & Co.Robert W. Baird & Co. Incorporated · Milwaukee, WI · $219M44%
At year end, Westward Investment Advisory’s separately managed accounts were mostly in stocks (88%).
What the accounts hold
- Stocks88%
- Funds4%
- Bonds4%
- U.S. government and agency bonds2%
- State and local bonds2%
- Cash4%
How many clients does Westward Investment Advisory have?
Westward Investment Advisory has 20 clients and manages $572 million for them, as of March 2026. They include 9 high-net-worth individuals, 7 individual clients, and 3 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 23 March 2026
What services does Westward Investment Advisory offer?
Westward Investment Advisory provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Westward Investment Advisory charge?
Westward Investment Advisory charges 0.30%–1.00% for its Portfolio Management. The brochure does not state whether the rate is annual. The fee is negotiable.
Source: WESTWARD INVESTMENT DISCLOSURE BROCHURE, filed 23 March 2026
Which custodians does Westward Investment Advisory use?
Westward Investment Advisory’s separately managed account assets are held at Morgan Stanley Smith Barney LLC (Purchase, NY), with $279M and Robert W. Baird & Co. Incorporated (Milwaukee, WI), with $219M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 March 2026
How many financial advisors does Westward Investment Advisory have?
Westward Investment Advisory has 3 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 0 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Westward Investment Advisory invest in?
At the end of its last fiscal year, Westward Investment Advisory’s separately managed accounts held 88% exchange-traded equities, 4% registered funds (mutual funds, ETFs, BDCs), 4% cash and equivalents, 2% U.S. government and agency bonds and 2% state and local bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Westward Investment Advisory?
Westward Investment Advisory’s direct owners are Casey McLiney (50% to 75%) and James Holcomb (25% to 50%).
Source: Form ADV Part 1A, Schedules A and B, filed 23 March 2026
How does Westward Investment Advisory get paid?
Westward Investment Advisory is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. 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
How do I contact Westward Investment Advisory?
Westward Investment Advisory’s main office is at 5201 Johnson Drive, Suite 410, Mission, KS 66205. Its phone number is 414-716-6300. Its website is westwardinvestment.com.