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Waterfield Asset Management, LLC (New York)


Waterfield Asset Management, LLC is a large advisory firm based in New York. It manages $2.43 billion of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of California, Delaware, Florida, Indiana, and New York.




Waterfield Asset Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Waterfield Asset Management: assets under management

The assets under management (AUM) of Waterfield Asset Management, LLC is $2.43 billion. The firm's AUM has grown by 1091% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $132.33 million in discretionary accounts and $2.3 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $66.17 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.15 billion.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Waterfield Asset Management, LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and performance-based fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
John Randall Waterfield Trustee of trust 1 Jan 2011 Other 2510911

Based in New York

The principal office where Waterfield Asset Management, LLC performs its advisory services is located at 140 Broadway, 46 Th Floor, New York, NY 10005, which is also the mailing address of the firm. An additional office of the firm is in Newport Beach, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-786-1784 or by fax 516-706-8758. The normal business hours are 9 a.m. to 5 p.m. on Monday - Friday.


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