CALMWATER CAPITAL
CALMWATER ASSET MANAGEMENT, LLC Legal Name
Adviser information for CALMWATER CAPITAL last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 7 | $1.1B |
| Non-Discretionary | 0 | $0 |
| Total | 7 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 7 | $1.1B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 40 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-109004 |
|---|---|
| SEC ERA File Number | 801-109004 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282617 |
| Legal Entity Identifier | None |
Principal Office
507 S DOUGLAS ST, 2ND FLOOREL SEGUNDO
CA
United States
Monday - Friday, 8:00 A.M. 5:00 P.M.
Tel: 310-806-9770, Fax: 310-806-9799
Chief Compliance Officer
MYLES BLECHNER
507 S DOUGLAS ST, 2ND FLOOR
EL SEGUNDO
CA
United States
Tel:
310-806-9770
Fax:
310-806-9799
M****@*******************M
(Full email address available in API data)
Regulatory Contact
DEAN CHANG
PRINCIPAL/GENERAL COUNSEL
507 S DOUGLAS ST, 2ND FLOOR
EL SEGUNDO
CA
United States
Tel:
310-806-9770
Fax:
310-806-9799
D***@*******************M
(Full email address available in API data)
Industry Affiliates
| CALMWATER MANAGEMENT, INC. | Sponsor, GP, manager of pooled investment vehicles |
| CALMWATER REAL ESTATE CREDIT FUND IV GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| KARLIN ASSET MANAGEMENT, INC. | Other investment adviser, including financial planners |
| U.S. REAL ESTATE CREDIT FUND III GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CALMWATER CAPITAL 3, LLC | Real Estate Fund | $19.4M | $5.0M | 1 |
| CALMWATER REAL ESTATE CREDIT FUND IV (PF), LP | Real Estate Fund | $48.8M | $5.0M | 2 |
| CALMWATER REAL ESTATE CREDIT FUND IV, LP | Real Estate Fund | $396.2M | $5.0M | 28 |
| U.S. REAL ESTATE CREDIT FUND III, LP | Real Estate Fund | $182.3M | $5.0M | 20 |
| U.S. REAL ESTATE CREDIT MINIMASTER FUND III, LP | Real Estate Fund | $180.8M | $5.0M | 18 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COHEN, DAVID, ANDREW | Individual | – | CHAIRMAN | 01/2017 | < 5% |
| GRANTHAM, LARRY, WILLIAM | Individual | – | MANAGING PRINCIPAL | 04/2015 | 10-25% |
| CHANG, DEAN, KAO | Individual | – | PRINCIPAL/GENERAL COUNSEL | 03/2018 | 5-10% |
| THE CHT TRUST | Domestic Entity | CAM HOLDINGS MANAGEMENT, LLC | MEMBER | 01/2017 | 50-75% |
| COHEN, DAVID, ANDREW | Individual | THE CHT TRUST | TRUSTEE | 01/2017 | |
| BLECHNER, MYLES, REID | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2022 | < 5% |
| SATO, MARK, HIROICHI | Individual | – | CHIEF FINANCIAL OFFICER | 01/2023 | < 5% |
| CAM HOLDINGS MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 01/2024 | > 75% |