Waterton Investment Adviser, L.L.C

CRD#285602
Investment Advisor Firm

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Learn more about Waterton Investment Adviser, L.L.C

  • Overview
  • By the Numbers
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations

    • Overview

    Waterton Investment Adviser, L.L.C is located at 222 S. Riverside Plaza, Chicago, IL. The firm employs 64 financial advisors to manage client portfolios and provide financial guidance. Waterton Investment Adviser, L.L.C is not a registered broker-dealer.

    Waterton Investment Adviser, L.L.C oversees $4.7 billion in assets under management across 16 accounts, all of which are discretionary. The services offered include portfolio management for pooled investment vehicles. The firm caters to pooled investment vehicles, with this type being the largest client type by accounts. The fee structure at Waterton Investment Adviser, L.L.C includes fixed, performance-based, and other fees. The firm maintains affiliations with a commodity pool advisor.

    Waterton Investment Adviser, L.L.C is registered in the states of Colorado, Kansas, and Texas.

    Assets Under Management

    $4.7 billion

    Number of Advisors

    64

    Disclosures

    No

    Office Location

    222 S. Riverside Plaza
    Chicago, IL 60606

    Waterton Investment Adviser, L.L.C by the Numbers

    Total Assets Under Management

    $4.7 billion

    National Average: $8.6 billion
    Total Number of Employees

    218

    National Average: 64
    Total Number of Accounts

    16

    National Average: 375,227
    Average Account Size

    $295.4 million

    National Average: $23.0 thousand
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    Fee Structure

    Fees for financial advice largely depend on the financial services offered. Fees charged by Waterton Investment Adviser, L.L.C likely consist of any combination of the following fee types: fixed, performance-based, or other.

    Available

    • Offered by 26% of firms

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Offered by 10% of firms

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

    Unavailable

    • Find one of the 69% of firms that offer this fee type

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    Back to Overview

    Types of Clients

    The firm works with pooled investment vehicles. Waterton Investment Adviser, L.L.C's biggest client group by number of accounts is pooled investment vehicles.

    • High-Net-Worth Individuals* - 0%
    • Other Individuals - 0%
    • Corporations - 100%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Waterton Investment Adviser, L.L.C does not have any disclosures.

    Please visit its Form ADV for more details.

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