WATEREQUITY LLC
Adviser information for WATEREQUITY LLC last updated from Form ADV on March 29th, 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 | 39 |
|---|---|
| Investment Advisory/Research | 29 |
| 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 | 5 | $322.2M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $322.2M |
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 | 5 | $322.2M |
| 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 | 20 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesACQUISITION AND MONITORING FEES |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-121365 |
|---|---|
| SEC ERA File Number | 801-121365 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 281955 |
| Legal Entity Identifier | 549300SH67VPTPK75H92 |
Principal Office
117 W. 20TH STREETSUITE 204
KANSAS CITY
MO
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 816-800-8100, Fax: 816-800-8101
Chief Compliance Officer
MARIE MILLIGAN
117 W. 20TH STREET
SUITE 204
KANSAS CITY
MO
United States
Tel:
917-488-5887
M********@**************M
(Full email address available in API data)
Regulatory Contact
CATHERINE COLYER
CHIEF OPERATING OFFICER
117 W. 20TH STREET
SUITE 204
KANSAS CITY
MO
United States
Tel:
715-207-2361
C******@**************M
(Full email address available in API data)
Industry Affiliates
| GLOBAL ACCESS FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| GLOBAL ACCESS FUND IV GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| WATER & CLIMATE RESILIENCE FUND GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| WATERCREDIT GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| WATEREQUITY, INC. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GLOBAL ACCESS FUND IV LP | Private Equity Fund | $117.7M | $1.0M | 29 |
| GLOBAL ACCESS FUND LP | Private Equity Fund | $149.6M | $1.0M | 59 |
| WATER & CLIMATE RESILIENCE FUND LP | Private Equity Fund | $0.0M | $1.0M | 5 |
| WATERCREDIT INVESTMENT FUND 3 LP | Private Equity Fund | $54.9M | $0.5M | 21 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| O'CONNELL, PAUL, G.J. | Individual | – | MANAGER AND PRESIDENT | 09/2019 | < 5% |
| WATEREQUITY, INC. | Domestic Entity | – | SOLE MEMBER | 06/2017 | > 75% |
| WHITE, GARY, JOHN | Individual | – | MANAGER AND CHIEF EXECUTIVE OFFICER | 01/2014 | < 5% |
| COLYER, CATHERINE, ELIZABETH | Individual | – | MANAGER AND CHIEF OPERATING OFFICER | 06/2019 | < 5% |
| MOYER, JOHN, EDWARD | Individual | – | MANAGER AND CHIEF INVESTMENT OFFICER | 06/2019 | < 5% |
| EMANUEL, ELAN, DAVID | Individual | – | MANAGER AND CHIEF INVESTOR RELATIONS OFFICER | 09/2021 | < 5% |
| MILLIGAN, MARIE, MARGARET | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |