Zephyr Investment Management (Westlake Village)


Zephyr Investment Management is an adviser based in Westlake Village. It manages $60.98 million of regulatory assets for 312 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of California and Texas.

Zephyr Investment Management provides financial planning services, portfolio management for individuals and small businesses, selection of other advisers, and educational seminars and workshops. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Zephyr Investment Management: assets under management

The assets under management (AUM) of Zephyr Investment Management is $60.98 million. The firm's AUM has grown by 76% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $53.16 million in discretionary accounts and $7.81 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $196.17 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $190.59 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Zephyr Investment Management for their services and products based on a percentage of assets under management and hourly charges. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Zephyr Investment Management

Marsha Lynn Roubidoux has been acting as President since 1 Jun 2004. Cheryl Ann Munoz joined the executive team most recently as the Vice President.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Nolan Roubidoux Trust Owner 1 Sep 2001 75% - 100% xxx-xx-xxxx
Marsha Lynn Roubidoux President/chief compliance officer 1 Jun 2004 Other 1266597
Peter James Nolan Cfo/secretary 1 Jun 2004 Other 4650118
Cheryl Ann Munoz Vice president 1 Jun 2006 Other 3136964

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Marsha Lynn Roubidoux Trustee 1 Sep 2001 Other 1266597
Peter James Nolan Trustee 1 Sep 2001 Other 4650118

Based in Westlake Village

The principal office where Zephyr Investment Management performs its advisory services is located at 3625 East Thousand Oaks Blvd, Westlake Village, CA 91362, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 805-496-6810 or by fax 805-496-0630. The normal business hours are 8:00 am - 4:30 pm on Monday - Friday. You can find more information about the New York firm at www.zephyrim.com.