Waterfall Asset Management, LLC

RIASEC RegisteredEst. 2006

Total AUM

$22B

Discretionary

$22B

100% of AUM

Avg account

$324M

Accounts

Employees

133

Advisory reps

Firm details

Headquarters: New York, New York
CRD number: 137746
Registered since: January 9, 2006
Website: www.waterfallam.com
Custodians: THE NORTHERN TRUST INTERNATIONAL BANKING CORPORATION, THE BANK OF NEW YORK MELLON, BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
Fee structure: Percentage of AUM, Performance Based Fees, Other
Client types: Pooled Investment Vehicles54.87%
Investment Companies37.22%
Insurance Companies7.31%
State / Municipal Government0.57%
Pension & Profit Sharing Plans0.01%
Services: Portfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Waterfall Asset Management, LLC is a multi-strategy investment manager organized as an LLC and registered with the SEC since 2006. The firm serves primarily institutional clients and operates across hedge fund, private equity and real estate strategies while also acting as sponsor and manager of pooled investment vehicles. Its advisory activity spans portfolio management for investment companies, pooled vehicles and institutional balance sheets, and it carries CPO/CTA responsibilities for certain products. Fee arrangements include asset-based and performance-based components, and the firm identifies itself as an active ESG investor. Waterfall is structured to run both internally managed funds and to sponsor external pooled vehicles, and its governance reflects a mix of domestic entity and individual ownership.