West Branch Capital Review
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October 4th, 2020
West Branch Capital, registered in 2013, is a Registered Investment Advisor (RIA) in 10 state(s) with a licensed staff of 8 advisors. West Branch Capital manages $410.8 million and provides investment advisory services for 355 clients (1:45 advisor/client ratio).
Disciplinary Questions
After checking the disciplinary records of West Branch Capital, our system found no disciplinary questions to ask. Checks take place monthly.
Conflict Questions
After checking the regulatory records of West Branch Capital, our system has identified the following question(s) to ask. Learn more.
Do you accept soft-dollar benefits? How did these benefits affect your firm’s selection of a broker-dealer partner?
Why ask? This firm receives soft-dollar benefits that could incentivize them to push trades through broker-dealers that provide advantages to the firm instead of through broker-dealers that could provide the best trade execution for their clients.
Which securities do you trade for yourself that you will also be recommending to me?
Why ask? This firm has marked in their disclosures that they trade recommended securities. While this often can be seen as "eating your own cooking," there are several inherent conflicts that can arise. For example, front running is when a financial professional buys or sell securities ahead of their client. In short, any financial professional should disclose all positions they hold (or have sold short) that they will also be recommending to you.
Our system found no other conflict questions to ask. Checks take place monthly.
Firm Information
As a financial advisory firm, also known as a Registered Investment Advisor (RIA), West Branch Capital can provide a variety of financial planning services for Americans. The goal of a financial advisor is to review your personal finances and work with you to achieve your life goals, e.g., saving for retirement, by creating a comprehensive financial plan. Financial advisors focus primarily on money management, including investments like stocks, ETFs, and mutual funds.
Financial planning services can include tax planning, estate planning, retirement planning, or life-based event planning such as saving for college, getting married, purchasing a home, paying down debt, or planning an inheritance.
| Summary | Firm |
| Overall Rating | |
| Minimum Investment | $1,000,000 |
| Average Client Balance | $1,157,157 |
| Total AUM | $410.8 million |
| Fee Range | No data |
| Advisor / Client Ratio | 1:45 |
| Languages Offered | Ask firm |
| Specialities | Ask firm |
| Website | Visit Site |
| Phone Number | 413-256-1225 |
| Headquarters | Amherst, MA |
| Locations | See locations |
| Facebook page unknown | |
| Twitter handle unknown | |
| LinkedIn page unknown | |
| SEC Filings | View SEC IAPD CRD #133813 |
Disciplinary History
An important aspect of the Trust Algorithm is processing the SEC Form ADV Part 1 filing of each Registered Investment Advisor (RIA). “Item 11 Disclosure Information” contains a list of valuable disclosures that are relevant for Americans.
As identified in SEC Form ADV Part 1, Item 11 “Disclosure Information”, the Trust Algorithm identified the following disciplinary disclosures for West Branch Capital:
Cost
Unfortunately, there is no single, uniform pricing standard for working with a financial advisor. Catchphrases, including "fee-only," can be helpful; however, Americans often get confused with competitors promoting "fee-based" in response.
Ultimately, to understand the underlying costs of advisory services, we always recommend asking for an itemized fees breakdown and reading the firm's ADV Part 2 Brochure (Item 5, "Fees and Compensation").
FAQs
Where is West Branch Capital headquartered? Which states do its financial advisors serve?
West Branch Capital is headquartered in Amherst, MA. West Branch Capital offers financial advisor services in 10 states: California, Connecticut, Florida, Louisiana, Massachusetts, New Hampshire, New York, North Carolina, Texas, Virginia.
What is the average client balance at West Branch Capital?
While West Branch Capital advises clients across a variety of portfolio sizes, the average client balance is currently $1,157,157. In total, West Branch Capital manages $410,790,982 in assets.
What is the historical performance of West Branch Capital?
The SEC, nor FINRA, tracks portfolio performance metrics for the financial planning industry. As a result, unlike hedge funds, there is no historical performance for any financial advisory firm. Financial plans and investment portfolios are always unique to the client's personal financial situation.
Can I write a review of West Branch Capital or file a complaint?
investor.com relies on regulatory data from the SEC to rate and review financial advisor firms. As a result, we do not support personal reviews on the site. To file a complaint or dispute with this firm, please fill out the SEC Investor Complaint Form.
Other Firms
Grand Capital Advisors, THE Mcenerney Group, The Wealth Collaborative, Balopole Investment Management Corporation
This automated report was generated using SEC and FINRA data and was last updated on October 4th, 2020*. For data support, email "support@investor.com". Views: 402 (trailing six months). Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.
*SEC data last verified 10/10/2020. For the most up-to-date information, please view the applicable SEC and FINRA reports above. By visiting these sites, you are subject to their terms of use (IAPD, BrokerCheck). Any data inaccuracies, please contact our team. All requests for updated information should also be reported directly to the SEC and/or FINRA. Firm’s/Financial Professional’s investor.com profile pages may contain certain limited information directly provided to investor.com by the Firm/Financial Professional including, by way of example only, the “Personal Bio,” “Certifications,” and/or “Investment Philosophy” portions of the profile page. With respect to such information, investor.com cannot and does not independently verify, audit, validate, assess or guarantee the adequacy, accuracy, or completeness of such information; such information is not included or otherwise incorporated within investor.com’s Trust Score algorithm or review process.
