Westwood Capital LLC
Westwood Capital LLC is a New York-based investment banking and financial advisory firm operating since 1995. Its publicly stated services include M&A advisory, strategic capital and platform transactions, affordable-housing and LIHTC advisory, securitization, corporate finance, restructuring advisory, and litigation support.
What stands out about Westwood Capital LLC
Westwood Capital LLC publicly describes a senior-led, custom-structured advisory platform serving affordable housing and LIHTC participants as well as clients across real estate, securitization, aerospace and defense, and other industries. Historical transaction materials describe a focus on emerging-growth and middle-market companies, while the current What We Do page does not state a universal quantitative engagement threshold.[1][2][5]
What does Westwood Capital LLC do?
Westwood Capital LLC is headquartered at 437 Madison Avenue, 24th Floor, New York, NY 10022, and its official site states that the firm has operated since 1995.
The firm describes its work as tailored and value-driven, with custom-structured transactions and senior-level involvement from initial structuring through execution. Historical official transaction materials describe an emphasis on access to capital and M&A markets for emerging-growth and middle-market companies.[1][5]
Westwood publicly states that it provides LIHTC advisory, GP-interest securitizations, M&A advisory, portfolio valuations, ratings-agency advisory, quarterly reporting, strategic capital and platform transactions, securitization and corporate finance, restructuring advisory, and litigation support.
The firm also describes arranging and placing debt and equity capital and advising participants in affordable housing, real estate, and related capital-markets transactions.[1][2][4]
Owners comparing advisory firms can also review Auxo’s M&A advisor vs. business broker vs. investment bank comparison, advisor-selection guide, and sell-side advisor evaluation framework.
What should a business owner evaluate before hiring Westwood Capital LLC?
Owners evaluating Westwood should assess how the firm’s stated M&A, strategic-capital, affordable-housing, real-estate, securitization, and restructuring capabilities apply to the proposed mandate. The historical archive demonstrates work on a company sale and financing and securitization assignments, but the examples identified are primarily from 2006 and 2007.
Because the official What We Do page does not publish fee terms or a universal quantitative engagement threshold, an owner should obtain the proposed fee structure, expense and termination provisions, any tail-period terms, applicable size criteria, current team and buyer-outreach plan, conflicts procedures, and recent closed-transaction references directly from the firm.[1][2][4][5]
Which current professionals would lead the engagement, and what comparable transactions have they completed in the last 24 months
What buyer universe and geographic reach would be used for the proposed mandate
Does Westwood require an exclusive mandate, retainer, success fee, minimum fee, expense reimbursement, or tail period
What size transactions and clients does Westwood Capital LLC focus on?
Westwood states that its current work includes Low-Income Housing Tax Credit transactions for developers, syndicators, and institutional investors, including GP securitizations and layered financing strategies.
Official team materials identify experience in aerospace and defense, including aircraft and component original equipment manufacturers and maintenance, repair, and overhaul providers. They also identify real estate and securitization experience involving residential homebuilding, multifamily acquisition and development finance, hospitality, entertainment, gaming, retail, heavy industry, power generation, renewable energy, media, and technology.[1][3][4]
Westwood’s official transaction archive identifies several historical examples. On April 24, 2007, it announced completion of a $2.5 million three-year term loan and an additional $2.5 million revolving credit facility for Edgar Online, Inc., acting as financial advisor and placement agent.
On April 23, 2007, Westwood announced completion of its advisory role on Hana Financial’s purchase of SBA-related assets from Orange Avenue Mortgage Investments for an undisclosed sum. On August 30, 2006, it announced a $50,000,000 mezzanine financing for FCC, LLC, doing business as First Capital, acting as financial advisor.
Other archive examples include Westwood acting as exclusive financial advisor to Adherence Technologies Corporation in its sale to Vocollect, Inc., announced May 2, 2006; a $100,000,000 revolving securitization facility for Hana Financial, announced May 11, 2006, with Westwood acting as exclusive financial advisor and placement agent; and a $350 million financing for the Hard Rock Theme Park, announced May 2, 2006.[5]
Publicly stated transaction capabilities include M&A advisory, strategic capital and platform transactions, securitization and corporate finance, private-capital placement, restructuring advisory, and GP-interest securitizations. The firm states that it focuses on custom-structured transactions rather than standardized products and provides senior-level involvement through execution.[1][2]
What does Westwood Capital LLC publicly disclose about fees, process and engagement terms?
The official What We Do page does not publish a fee schedule, success-fee percentage, minimum fee, retainer, termination provision, or tail-period schedule.
The same page does not state a universal revenue, EBITDA, enterprise-value, asset-size, financing-size, or minimum transaction-size threshold for engagements.
The official transaction archive identifies Hana Financial’s SBA-related asset purchase as completed for an undisclosed sum. That archive contains dated transaction announcements from 2006 and 2007 but does not itself provide a current 2024-2026 closed-transaction list or a current deal-value series.[2][5]
Westwood’s official disclosure page states that securities transaction services are conducted through Westwood Capital, LLC, a broker-dealer registered with the United States Securities and Exchange Commission and a member of FINRA and SIPC.
FINRA’s firm-level BrokerCheck report identifies Westwood Capital, LLC as a Delaware limited liability company with CRD #39551 and SEC #8-48745. A 2025 SEC Form X-17A-5 filing identifies the firm as a broker-dealer and lists its principal place of business as 437 Madison Avenue, 24th Floor, New York, NY 10022.[6][7][8]
Westwood states that its approach involves tailored, custom-structured transactions with senior-level attention from initial structuring through execution. Its publicly stated transaction activities include arranging and placing debt and equity capital, M&A advisory, strategic capital transactions, securitizations, and restructuring support.
The sources cited for this profile do not establish a standardized engagement process, exclusivity requirement, or transaction timeline.[1][2]
Questions to ask before hiring Westwood Capital LLC
Which current professionals would lead the engagement, and what comparable transactions have they completed in the last 24 months?
What buyer universe and geographic reach would be used for the proposed mandate?
Does Westwood require an exclusive mandate, retainer, success fee, minimum fee, expense reimbursement, or tail period?
How are conflicts handled across Westwood Capital, LLC and related entities involved in an engagement?
What transaction-size, revenue, EBITDA, asset, or capitalization criteria apply?
For an affordable-housing or real-estate mandate, how would portfolio valuation, ratings-agency work, GP or LP interests, and securitization alternatives be evaluated?
Can the firm provide recent closed-transaction references and current transaction values?
Sources & research notes
- Official website / firm overview
- Services / capabilities
- Industry / market focus
- Industry / market focus
- Transaction size / criteria
- Structure / regulatory context
- FINRA regulatory record
- SEC filing / regulatory record
How this profile was researched
Auxo profiles are prepared from publicly available primary and authoritative sources and reviewed for entity identity, factual support and disclosure consistency. When a fact cannot be supported by the reviewed public record, the profile identifies it as something to confirm directly rather than inferring it.
Independent research profile
This profile was prepared by Auxo Capital Advisors from publicly available information believed to be reliable and is provided solely for informational and educational purposes. It is not an endorsement, recommendation, ranking, solicitation, or representation regarding the profiled firm, its services, qualifications, transaction experience, regulatory status, financial condition, or suitability for any particular person, company, transaction, or investment.
Information obtained from third-party and public sources may be incomplete, inaccurate, outdated, or subject to change, and Auxo Capital Advisors makes no representation or warranty, express or implied, as to its accuracy, completeness, or timeliness. Readers should conduct their own independent diligence and consult appropriate professional advisers before engaging any advisor, intermediary, investor, lender, acquirer, or other transaction counterparty.
Broker-dealer and securities disclosure
Auxo Capital Advisors is an affiliate of Weild & Co., Member FINRA | SIPC. Securities-related activities and securities transactions are conducted through Weild & Co.
Nothing contained on this page constitutes an offer to sell, an offer to purchase, or a solicitation of an offer to buy or sell any security, investment product, or financial instrument. Nothing on this page constitutes investment advice, a recommendation regarding any security, or a recommendation to enter into any transaction with the profiled firm or any other party.
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