A. Firm Information
West Branch Capital LLC (“West Branch Capital” or the “Adviser”) is a Registered Investment Adviser with the
Securities and Exchange Commission (SEC), which is organized as a Limited Liability Company (“LLC”) under
the laws of Massachusetts. West Branch Capital was founded in 2004 by Ayaz Mahmud, CEO and sole owner.
This Disclosure Brochure provides information regarding the qualifications, business practices, and the Advisory
services provided by West Branch Capital.
B. Advisory Services Offered
West Branch Capital offers investment Advisory services to individuals, high net worth individuals, trusts,
estates, corporations and other businesses in the United States (each referred to as a “Client”).
Portfolio Management
West Branch Capital provides investment Advisory solutions through continuous personal Client contact and
interaction while providing discretionary Investment Advisory services. West Branch Capital works with each
Client to identify their investment goals and objectives as well as risk tolerance and financial situation in order to
create a portfolio allocation. West Branch Capital will construct a portfolio consisting of individual equity and
fixed income securities, mutual funds, Exchange Traded Funds, United States government securities, options
and other investments to achieve the Client’s investment goals.
West Branch Capital’s investment strategy is primarily long‐term focused, but the Adviser may buy, sell, or re‐
allocate positions frequently. Some positions may be held for less than 30 days.
The Adviser will construct, implement, and monitor the portfolio to assist the clients in meeting their goals,
objectives, circumstances, and risk tolerance agreed to by the Client. The Adviser may recommend specific
positions to increase sector or asset class weightings of both US and non‐US securities or exposure to hard assets
such as commodities. The Adviser may recommend employing cash positions as a possible hedge against
adverse market movements. Further, West Branch Capital may use leverage and other hedging strategies, if
appropriate for certain Clients.
Prior to rendering investment Advisory services, the Adviser will ascertain, in conjunction with the Client,
the Client’s financial situation, risk tolerance, and investment objective[s].
West Branch Capital will provide investment Advisory services and portfolio management services but will not
provide custodial services for securities, cash or other assets. At no time will West Branch Capital accept or
maintain custody
of a Client’s funds or securities. All Client assets will be managed within their designated
brokerage account or pension account, pursuant to the Client Investment Advisory Agreement.
Financial Planning
West Branch Capital will provide financial planning services to individuals and families who are existing or new
portfolio management clients. Services are offered in several areas of a Client’s financial situation, depending on
their goals, objectives and financial situation. Generally, such financial planning services will involve preparing a
financial plan or rendering a financial consultation for Clients based on the Client’s financial goals and
objectives. This planning or consulting can encompass one or more areas of need, including, but not limited to
investment planning, retirement planning, personal savings, education savings, and other areas of a Client’s
financial situation.
C. Client Account Management
Prior to engaging West Branch Capital to provide Investment Advisory services, each Client is required to enter
into an Investment Advisory Agreement with the Adviser that defines the terms, conditions, authority, and
responsibilities of the Adviser and the Client. These services may include:
Establishing an Investment Objective: West Branch Capital, in conjunction with the Client, will assist the Client
in determining investment goals and objectives along with the broad strategy or strategies to be employed to
meet those objectives.
Asset Allocation: West Branch Capital may develop a strategic asset allocation that is targeted to meet the
investment objectives, time horizon, financial situation, and tolerance for risk for each Client.
Portfolio Construction: West Branch Capital will develop a portfolio for the Client that is intended to meet the
stated goals and objectives of the Client.
Investment Advisory and Supervision: West Branch Capital will provide Investment Advisory and ongoing
oversight of the Client’s portfolio and overall account.
D. Wrap Fee Programs
West Branch Capital does not manage or place Client assets into wrap fee programs.
E. Assets Under Management
As of December 31, 2022, the most recent date for which such calculations are provided pursuant to securities
regulations, West Branch Capital managed the following assets:
Assets Under Management Assets
Discretionary Assets $415,038,451
Non‐Discretionary Assets $20,724,796
Total $435,763,247
Clients can request more current information at any time by contacting the Adviser.