THE WATERFORD GROUP, LLC
Adviser information for THE WATERFORD GROUP, LLC last updated from Form ADV on March 15th, 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 | New York, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| 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 | 89 | $39.0M |
| Non-Discretionary | 0 | $0 |
| Total | 89 | $39.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 60 | $39.0M |
| 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 | 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 individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-72033 |
|---|---|
| SEC ERA File Number | 801-72033 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155738 |
| Legal Entity Identifier | None |
Principal Office
1657 EAST AVENUESUITE 200
ROCHESTER
NY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: (585) 434-0646, Fax: None
Chief Compliance Officer
CHRISTIAN P. MANGO
PRESIDENT / CHIEF COMPLIANCE OFFICER
1657 EAST AVENUE
SUITE 200
ROCHESTER
NY
United States
Tel:
(917) 533-8321
C**************@*************M
(Full email address available in API data)
Industry Affiliates
| ALERA GROUP | Insurance company or agency |
| ALERA INVESTMENT ADVISORS, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COSTELLO, BRIAN, PATRICK | Individual | – | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | 04/2021 | < 5% |
| MERRIMAN, MICHAEL, JOHN | Individual | – | MANAGING MEMBER | 04/2021 | < 5% |
| O'BRIAN, MARY, KATHERINE | Individual | – | MANAGING MEMBER | 04/2021 | < 5% |
| GENSTAR CAPITAL PARTNERS X, L.P. | Domestic Entity | ALERA GROUP, INC. | SHAREHOLDER | 09/2021 | 25-50% |
| ALERA GROUP, INC. | Domestic Entity | – | MANAGING MEMBER/PARENT COMPANY | 04/2021 | > 75% |
| GENSTAR X ALERA GROUP HOLDINGS, LLC | Domestic Entity | GENSTAR CAPITAL PARTNERS X, L.P. | SHAREHOLDER | 09/2021 | 25-50% |