WATERTON INVESTMENT ADVISER, L.L.C.

Adviser information for WATERTON INVESTMENT ADVISER, L.L.C. last updated from Form ADV on March 27th, 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	218
Investment Advisory/Research	64
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	0
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	1

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	16	$4.7B
Non-Discretionary	0	$0
Total	16	$4.7B

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	16	$4.7B
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	0

Services

Advisory Services	Portfolio management for pooled investment vehicles
Compensation	Fixed feesPerformance-based feesPERCENT OF CAPITAL, PROPERTY MGT, ACQUISITION, CONSTRUCTION

Identifiers

SEC RIA File Number	801-109009
SEC ERA File Number	801-109009
SEC CIK Numbers	None
SEC CRD Numbers	285602
Legal Entity Identifier	None

Principal Office

222 S. RIVERSIDE PLAZA
SUITE 2000
CHICAGO
IL
United States

Monday - Friday, 8:30 AM TO 5:00 PM

Tel: 312-948-4500, Fax: 312-948-4501

Websites

g.page/r/cuu0m0ewovwpeae www.youtube.com/channel/uceb8p4-wvnnh1rlnryh07la/featured www.waterton.com www.facebook.com/watertonrealestate www.instagram.com/watertonrealestate/ www.pinterest.com/watertonre/ www.facebook.com/watertoncareers twitter.com/watertonre twitter.com/watertoncareers www.linkedin.com/company/waterton/mycompany/ vimeo.com/waterton outboundhotel.com www.instagram.com/outboundhotels/ www.facebook.com/outboundhotels www.linkedin.com/company/79597309/admin/feed/posts/

Chief Compliance Officer

TODD JOSEPH

222 S. RIVERSIDE PLAZA

SUITE 2000

CHICAGO

United States

Tel: 312-476-2383

Fax: 312-476-2440

T**********@***********M

(Full email address available in API data)

Industry Affiliates

WATERTON ASSOCIATES L.L.C.	Other investment adviser, including financial planners
WATERTON KJ BOND MANAGER II, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
WATERTON VENTURE XI GP, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
WATERTON VENTURE XII GP, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
WATERTON VENTURE XIII GP, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
WATERTON VENTURE XIV GP, L.L.C.	Sponsor, GP, manager of pooled investment vehicles
WATERTON VENTURE XV GP, L.L.C.	Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name	Type	Assets $USD	Min Investment $USD	No. Owners
MULTIFAMILY CREDIT INCOME FUND - WATERTON II, LLC	Real Estate Fund	$0.0M	$53.2M	1
WATERTON RESIDENTIAL PROPERTY VENTURE XI (PF-1), L.P.	Real Estate Fund	$6.2M	$100.0M	53
WATERTON RESIDENTIAL PROPERTY VENTURE XI, L.P.	Real Estate Fund	$41.2M	$100.0M	6
WATERTON RESIDENTIAL PROPERTY VENTURE XII, L.P.	Real Estate Fund	$198.8M	$40.0M	52
WATERTON RESIDENTIAL PROPERTY VENTURE XIII EDGE CO-INVEST, L.P.	Real Estate Fund	$214.0M	$20.3M	4
WATERTON RESIDENTIAL PROPERTY VENTURE XIII PARALLEL FUND, L.P.	Real Estate Fund	$311.1M	$25.0M	4
WATERTON RESIDENTIAL PROPERTY VENTURE XIII, L.P.	Real Estate Fund	$857.2M	$25.0M	24
WATERTON RESIDENTIAL PROPERTY VENTURE XIV NON-U.S., L.P.	Real Estate Fund	$322.3M	$25.0M	6
WATERTON RESIDENTIAL PROPERTY VENTURE XIV, L.P.	Real Estate Fund	$1,091.3M	$25.0M	40
WATERTON RESIDENTIAL PROPERTY VENTURE XV NON-U.S., L.P.	Real Estate Fund	$395.6M	$25.0M	4
WATERTON RESIDENTIAL PROPERTY VENTURE XV, L.P.	Real Estate Fund	$1,147.3M	$250.0M	19
WRPV XIV SHOREHAM-TIDES CO-INVEST, L.P.	Real Estate Fund	$85.8M	$12.2M	4

Control Persons

Name	Type	Entity	Title	Since	Ownership
SCHWARTZ, DAVID, REUBEN	Individual	–	CHIEF EXECUTIVE OFFICER AND CHAIRMAN	08/2013	< 5%
VILIM, PETER, MICHAEL	Individual	–	VICE CHAIRMAN	06/1995	< 5%
Hurd, Richard, Hanford	Individual	–	MANAGING PARTNER, INVESTMENT MANAGEMENT	08/2013	< 5%
WATERTON RESIDENTIAL L.L.C.	Domestic Entity	–	MEMBER	05/2022	> 75%
WATERTON ENTERPRISES, L.L.C.	Domestic Entity	WATERTON ASSOCIATES HOLDINGS, L.L.C.	MEMBER	05/2022	> 75%
SC INTERMEDIATE, L.L.C.	Domestic Entity	WATERTON ENTERPRISES, L.L.C.	MEMBER	11/2016	> 75%
SCHWARTZ CONSOLIDATED, L.L.C.	Domestic Entity	SC INTERMEDIATE, L.L.C.	MEMBER	06/2009	> 75%
JAMIE DIAMOND SCHWARTZ FAMILY GIFT TRUST	Domestic Entity	SCHWARTZ CONSOLIDATED, L.L.C.	MEMBER	06/2011	25-50%
DAVID SCHWARTZ FAMILY GIFT TRUST	Domestic Entity	SCHWARTZ CONSOLIDATED, L.L.C.	MEMBER	06/2011	25-50%
MARSZEWSKI, TARA	Individual	–	MANAGING PARTNER AND CHIEF FINANCIAL OFFICER	09/2019	< 5%
JOSEPH, TODD, ANDREW	Individual	–	CHIEF COMPLIANCE OFFICER	12/2019	< 5%
WATERTON ASSOCIATES HOLDINGS, L.L.C.	Domestic Entity	WATERTON ASSOCIATES L.L.C.	MEMBER	05/2022	> 75%
WELLS, MICHELLE, CHRISTINE	Individual	–	MANAGING PARTNER, INVESTOR RELATIONS	04/2022	< 5%
BROCK, STEPHANIE, FOSTER	Individual	–	MANAGING PARTNER, PROPERTY MANAGEMENT	11/2021	< 5%
LUKOWSKI, PHIL, JOSEPH	Individual	–	MANAGING PARTNER, PORTFOLIO MANAGEMENT	12/2017	< 5%
Harris, Erick, Steven	Individual	–	GENERAL COUNSEL	03/2024	< 5%
WATERTON ASSOCIATES L.L.C.	Domestic Entity	WATERTON RESIDENTIAL L.L.C.	MEMBER	05/2022	> 75%

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