WATTERS FINANCIAL SERVICES, LLC
Adviser information for WATTERS FINANCIAL SERVICES, LLC last updated from Form ADV on February 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 | New Jersey, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 182 | $90.7M |
| Non-Discretionary | 234 | $87.4M |
| Total | 416 | $178.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 64 | $24.9M |
| HNW Individuals | 63 | $149.9M |
| 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 | <5 | $270,288 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $1.0M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $2.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 10 |
| 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 businessesPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-119028 |
|---|---|
| SEC ERA File Number | 801-119028 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 126339 |
| Legal Entity Identifier | None |
Principal Office
16 ARCADIAN AVENUESUITE C4
PARAMUS
NJ
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: (201) 843-0044, Fax: (201) 843-1171
Chief Compliance Officer
TIMOTHY J. WATTERS
MEMBER
16 ARCADIAN AVENUE
SUITE C4
PARAMUS
NJ
United States
Tel:
(201) 843-0044
Fax:
(201) 843-1171
T*******@*******************M
(Full email address available in API data)
Regulatory Contact
COLIN R. WATTERS
OWNER AND CLIENT ADVISOR
16 ARCADIAN AVENUE
SUITE C4
PARAMUS
NJ
United States
Tel:
(201) 843-0044
Fax:
(201) 843-1171
C*******@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WATTERS, TIMOTHY, JOHN | Individual | – | MEMBER AND CHIEF COMPLIANCE OFFICER | 06/2007 | 50-75% |
| WATTERS, COLIN, RUSSELL | Individual | – | OWNER AND CLIENT ADVISOR | 12/2018 | 25-50% |