SourcingSourcing

WATERTON INVESTMENT ADVISER, L.L.C.

C12
CRD 285602·SEC 801-109009·CHICAGO, IL
AUM
$4.33B
$1B+
Est. Revenue
$43.3M
@ 1% on AUM
Est. EBITDA
$13.0M
@ 30% margin
Est. Deal Value
$104.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WATERTON INVESTMENT ADVISER, L.L.C.
CRD
285602
SEC file #
801-109009
EIN
—
DBA names
—

Economics

AUM
$4.33B
AUM band
$1B+
AUM trajectory
'20'26
$128.0M → $4.33B▲ +3285%
Client mix
Pooled Investment Vehicles17

Operations

Employees (total)
226
Advisory staff (per ADV)
70
Advisory staff (5-yr trend)
'20'26
48 advisors → 70 advisors▲ +46%
Primary office
CHICAGO IL
Branches
—

Custodian & Brokerage

Primary custodian
JPMorganlow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
Fixed feesPerformance-based feesOther Compensation

Filings

Latest ADV filing
03/29/2026
ADV-W filed at
—
Website
g.page/r/cuu0m0ewovwpeae

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
WATERTON RESIDENTIAL L.L.C.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
10
Control Persons
WATERTON RESIDENTIAL L.L.C.
BROCK, STEPHANIE, FOSTER
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
g.page
Rdap Domain Creation Date
2018-07-30T15:09:34.204Z
Rdap Firm Age Years
8
Rdap Firm Age Band
5-10y
Rdap Registrar
MarkMonitor Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Jpmorgan14
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-07-30T15:09:34.204Z
Rdap Domain Last Changed
2025-10-23T20:07:42.453Z
Rdap Nameservers
Ns1.zdns.googleNs2.zdns.googleNs3.zdns.googleNs4.zdns.google
Rdap Secure Dns Enabled
Yes
Rdap Status
Client Delete ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
Yes

People (9)

9
BROCK, STEPHANIE, FOSTER
Executive Officer · 2.5%
7786368
Gray, John, William
Executive Officer · 2.5%
8245397
Erick Steven Harris
Executive Officer · 2.5%
7024596
JOSEPH, TODD, ANDREW
Executive Officer · 2.5%
5645335
LUKOWSKI, PHIL, JOSEPH
Executive Officer · 2.5%
7786376
MARSZEWSKI, TARA, LYNN
Executive Officer · 2.5%
7240635
SCHWARTZ, DAVID, REUBEN
Executive Officer · 2.5%
6025768
VILIM, PETER, MICHAEL
Executive Officer · 2.5%
6025770
WELLS, MICHELLE, CHRISTINE
Executive Officer · 2.5%
4746388