WATERSTONE INVESTMENT COUNSEL, LLC
Adviser information for WATERSTONE INVESTMENT COUNSEL, LLC last updated from Form ADV on April 4th, 2023. 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 | Ohio, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 461 | $140.5M |
| Non-Discretionary | 1 | $170,826 |
| Total | 462 | $140.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 303 | $32.4M |
| HNW Individuals | 159 | $108.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-114090 |
|---|---|
| SEC ERA File Number | 801-114090 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106639 |
| Legal Entity Identifier | None |
Principal Office
9435 WATERSTONE BOULEVARDSUITE 120
CINCINNATI
OH
United States
Monday - Friday, 8:00AM - 4:30PM
Tel: 513-573-0440, Fax: None
Chief Compliance Officer
DON BROSZ
MANAGING PARTNER
9435 WATERSTONE BOULEVARD
SUITE 120
CINCINNATI
OH
United States
Tel:
513-573-0440
D*****@****************M
(Full email address available in API data)
Regulatory Contact
MARK ROBERTS
MANAGING PARTNER
9435 WATERSTONE BOULEVARD
SUITE 120
CINCINNATI
OH
United States
Tel:
513-573-0440
M*******@****************M
(Full email address available in API data)
Industry Affiliates
| MARK ROBERTS AGENCY, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROBERTS, MARK, ALAN | Individual | – | MANAGING PARTNER | 05/1996 | 50-75% |
| BROSZ, DON, GAYLE | Individual | – | MANAGING PARTNER/CHIEF COMPLIANCE OFFICER | 07/1995 | 50-75% |