CLEARWATER MANAGEMENT CO., INC.
Adviser information for CLEARWATER MANAGEMENT CO., INC. last updated from Form ADV on March 25th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Minnesota, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| 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 | 13 | $3.8B |
| Non-Discretionary | 0 | $0 |
| Total | 13 | $3.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 4 | $3.0B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 9 | $782.9M |
| 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 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFIXED % OF COMMITTED CAPITAL OR NAV FOR PRIVATE FUNDS. |
Identifiers
| SEC RIA File Number | 801-29336 |
|---|---|
| SEC ERA File Number | 801-29336 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105307 |
| Legal Entity Identifier | 2549003239DYIJURX475 |
Principal Office
30 EAST 7TH STREET, SUITE 2000ST PAUL
MN
United States
Monday - Friday, 8:00AM-4:45PM
Tel: 651-228-0935, Fax: 651-215-4493
Chief Compliance Officer
JASON K. MITCHELL
30 EAST 7TH STREET, SUITE 2000
ST PAUL
MN
United States
Tel:
651-215-4402
Fax:
651-215-4493
J*************@***********M
(Full email address available in API data)
Regulatory Contact
KAREN P. RAU
SENIOR COMPLIANCE ANALYST
30 EAST 7TH STREET, SUITE 2000
ST PAUL
MN
United States
Tel:
651-215-4414
K********@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CLEARWATER DIVERSIFYING STRATEGIES FUND, LLC | Hedge Fund | $166.0M | $0.3M | 61 |
| CLEARWATER OPPORTUNITY FUND, LLLP | Hedge Fund | $57.7M | $0.3M | 70 |
| CLEARWATER PRIVATE OPPORTUNITY FUND III, LLLP | Private Equity Fund | $19.7M | $0.3M | 94 |
| CLEARWATER PRIVATE OPPORTUNITY FUND IV, LLLP | Private Equity Fund | $50.1M | $0.3M | 76 |
| CLEARWATER PRIVATE OPPORTUNITY FUND V, LLLP | Private Equity Fund | $155.9M | $0.3M | 78 |
| CLEARWATER PRIVATE OPPORTUNITY FUND VI, LLLP | Private Equity Fund | $132.4M | $0.1M | 77 |
| CLEARWATER PRIVATE OPPORTUNITY FUND VII, LLC | Private Equity Fund | $88.1M | $0.3M | 59 |
| CLEARWATER PRIVATE OPPORTUNITY FUND VIII, LLC | Private Equity Fund | $113.0M | $0.3M | 88 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PIASECKI, FRANK, WEYERHAEUSER | Individual | – | DIRECTOR | 12/1992 | 10-25% |
| HLAVKA, ELIZABETH, DRISCOLL | Individual | – | DIRECTOR | 03/1995 | 10-25% |
| CARR, SAMUEL, BALDWIN | Individual | – | DIRECTOR | 03/2000 | 10-25% |
| WEYERHAEUSER, CATHERINE, LANE | Individual | – | DIRECTOR | 06/1999 | 10-25% |
| CUNNINGHAM, COURTLAND, BAXTER | Individual | – | DIRECTOR, VICE PRESIDENT AND SECRETARY | 03/2013 | 10-25% |
| DAY, VIVIAN, WEYERHAEUSER | Individual | – | DIRECTOR | 09/2014 | 10-25% |
| DRISCOLL, WILLIAM, LINDEKE | Individual | – | CHAIRMAN, PRESIDENT, TREASURER AND DIRECTOR | 09/2015 | 10-25% |
| SLOCUM, MICHAEL, JOHN | Individual | – | DIRECTOR | 12/2017 | 10-25% |
| MIDDLETON, RICHARD, W | Individual | – | DIRECTOR | 12/2018 | 10-25% |
| MITCHELL, JASON, KEITH | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2021 | < 5% |
| DAVIS, MELISSA, MARGUERITE | Individual | – | DIRECTOR, NON-VOTING | 03/2021 | < 5% |
| TITCOMB, DANIEL, LESLIE | Individual | – | DIRECTOR | 12/2022 | 10-25% |