WATERSTONE FINANCIAL ADVISORY LLC
Adviser information for WATERSTONE FINANCIAL ADVISORY LLC last updated from Form ADV on February 21st, 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 | Florida, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 796 | $174.1M |
| Non-Discretionary | 25 | $7.3M |
| Total | 821 | $181.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 186 | $59.3M |
| HNW Individuals | 45 | $113.5M |
| 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 | $1.7M |
| 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 | 6 | $6.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-127693 |
|---|---|
| SEC ERA File Number | 801-127693 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 325012 |
| Legal Entity Identifier | None |
Principal Office
12597 NEW BRITTANY BLVDFORT MYERS
FL
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M. PST
Tel: 239-288-0977, Fax: N/A
Chief Compliance Officer
KARLY ANN YOUNG
OPERATIONS MANAGER AND CCO
12597 NEW BRITTANY BLVD
FORT MYERS
FL
United States
Tel:
239-288-0977
Fax:
239-481-0031
K**********@***************M
(Full email address available in API data)
Regulatory Contact
JAMES S GALLAGHER
PRESIDENT
12597 NEW BRITTANY BLVD
FORT MYERS
FL
United States
Tel:
239-288-0977
Fax:
N/A
J****@***************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 |
|---|---|---|---|---|---|
| GALLAGHER, JAMES, STUART | Individual | – | PRESIDENT | 01/2023 | > 75% |
| Young, Karly | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |