WATER STREET FINANCIAL LLC
Adviser information for WATER STREET FINANCIAL LLC last updated from Form ADV on July 17th, 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 | Virginia, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 526 | $116.7M |
| Non-Discretionary | 16 | $30.6M |
| Total | 542 | $147.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 282 | $61.3M |
| HNW Individuals | 28 | $50.3M |
| 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 | 17 | $32.4M |
| Charitable organizations | <5 | $1.4M |
| 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 | <5 | $1.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 116.6M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WATER STREET FINANCIAL WRAP FEE PROGRAM | WATER STREET FINANCIAL LLC |
Identifiers
| SEC RIA File Number | 801-121720 |
|---|---|
| SEC ERA File Number | 801-121720 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 314822 |
| Legal Entity Identifier | None |
Principal Office
335 WESTSIDE STATION DRIVEWINCHESTER
VA
United States
Monday - Friday, 9:00AM TO 4:00PM
Tel: 540-450-8351, Fax: 540-450-8359
Chief Compliance Officer
RYAN OATES
MANAGING PARTNER
335 WESTSIDE STATION DRIVE
WINCHESTER
VA
United States
Tel:
540-450-8351
R***@***********************M
(Full email address available in API data)
Regulatory Contact
ANGELA MORRISON
VP OPERATIONS
335 WESTSIDE STATION DRIVE
WINCHESTER
VA
United States
Tel:
540-450-8351
A****@***********************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 |
|---|---|---|---|---|---|
| OATES, RYAN, CHARLES | Individual | – | CHIEF COMPLIANCE OFFICER AND MANAGING PARTNER | 06/2023 | 50-75% |
| COTTERELL, CHRISTOPHER, STEPHEN | Individual | – | MANAGING PARTNER | 06/2021 | 50-75% |