BLUE WATER CAPITAL MANAGEMENT, LLC
Adviser information for BLUE WATER CAPITAL MANAGEMENT, LLC last updated from Form ADV on November 13th, 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 | New York, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 7 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 642 | $150.2M |
| Non-Discretionary | 0 | $0 |
| Total | 642 | $150.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 299 | $62.0M |
| HNW Individuals | 20 | $28.0M |
| 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 | 12 | $55.8M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $930,736 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $3.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-67718 |
|---|---|
| SEC ERA File Number | 801-67718 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 143414 |
| Legal Entity Identifier | None |
Principal Office
507 PLUM ST.SUITE 102
SYRACUSE
NY
United States
Monday - Friday, 9AM TO 5PM
Tel: 315-438-8690, Fax: 315-438-8691
Chief Compliance Officer
STEPHEN SWIFT
CHIEF COMPLIANCE OFFICER
507 PLUM ST.
SUITE 102
SYRACUSE
NY
United States
Tel:
315-438-8690
Fax:
315-438-8691
S*****@**************M
(Full email address available in API data)
Regulatory Contact
JOHN PAGANELLI
CHIEF OPERATING AND FINANCIAL OFFICER/ARC
507 PLUM ST.
SUITE 102
SYRACUSE
NY
United States
Tel:
315-438-8690
Fax:
315-438-8691
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 |
|---|---|---|---|---|---|
| SWIFT, STEPHEN, DEAN | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER, CHIEF MARKETING OFFICER | 06/2011 | 50-75% |
| PAGANELLI, JOHN, ANDREW | Individual | – | PRESIDENT, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, SECRETARY | 06/2011 | 25-50% |
| BROWN, THOMAS | Individual | – | PARTNER-WEALTH MANAGEMENT, RETIREMENT PLAN SERVICES | 09/2016 | 10-25% |