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 a financial advisory company that has its headquarters in Chicago, Illinois. Waterton Investment Adviser, L.L.C has $3.7 billion in assets throughout 13 client accounts, placing it among the biggest firms in the United States by assets under management (AUM). Waterton Investment Adviser, L.L.C has a large team, including 53 financial advisors. Waterton Investment Adviser, L.L.C does not act as a registered broker-dealer, meaning the advisor cannot buy and sell securities for its accounts and those of its clients and instead is required to go through a broker-dealer company to do so. Securities are tradable financial investments like equities, bonds and options.

    Waterton Investment Adviser, L.L.C administers all of the company's client assets in a discretionary manner. Discretionary management signifies that buy and sell decisions are made by an investment advisor without needing to seek the customer's authorization. The firm's typical account size is $288.1 million. An average advisor at Waterton Investment Adviser, L.L.C oversees fewer than one client account, placing it among the most personalized firms in the country.

    Waterton Investment Adviser, L.L.C's headquarters is at 222 S. Riverside Plaza, Chicago, Illinois 60606. The firm is allowed to provide services to customers throughout a few states, including Colorado, Kansas and Texas.

    Assets Under Management

    $3.7 billion

    Number of Advisors

    53

    Disclosures

    No

    Office Location

    222 S. Riverside Plaza
    Chicago, IL 60606

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

    Total Assets Under Management

    $3.7 billion

    National Average: $8.6 billion
    Total Number of Employees

    206

    National Average: 64
    Total Number of Accounts

    13

    National Average: 375,227
    Average Account Size

    $288.1 million

    National Average: $23.0 thousand
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    Fee Structure

    Financial advisory fees usually vary depending on the financial services offered. However, fee types billed by the company can include any blend of the following fee types: fixed, performance-based or other. Waterton Investment Adviser, L.L.C does not participate in a wrap fee program, in which the firm offers a bundle of services for a comprehensive fee.

    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 company works with pooled investment vehicles. Out of its 13 clients, Waterton Investment Adviser, L.L.C's biggest client type by number of accounts is pooled investment vehicles. None of the company's clients are from outside of the U.S.

    • 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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