WATERS CAPITAL ADVISERS, LLC
CRD #119310 SEC #801-62780 DENVER, CO 303-333-7779
SEC Registered
Total AUM
$19M
Discretionary
$19M
Employees
5
Clients
--
Accounts
1
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 1, 2009
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| WATERS, JAMES, JOSEPH | I | PRESIDENT | NA | Control |
| WATERS, JAMES, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WATERS, JAMES, JOSEPH | I | PRESIDENT | E | Control |
| WATERS, JAMES, JOSEPH | I | CHIEF COMPLIANCE OFFICER | E | Control |
| WATERS, JAMES, JOSEPH | I | PRESIDENT | E | Control |
| WESTMOORE INVESTMENT LP | DE | OWNER | E | Control |
| WATERS, JAMES, JOSEPH | I | PRESIDENT | D | Control |
| WATERS, JAMES, JOSEPH | I | CHIEF COMPLIANCE OFFICER | D | Control |
| MKA CAPITAL GROUP ADVISORS, INC. | DE | SHAREHOLDER | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| WESTMOORE PARTNERS, INC. | DE | WESTMOORE INVESTMENT, LP | F | Control |
| ABRAHAM, MICHAEL, ANTHONY | I | MKA CAPITAL GROUP ADVISORS, INC. | D | Control |
| JENNINGS, MATTHEW, RAY | I | WESTMOORE PARTNERS, INC. | D | Control |
| JENNINGS, ROBERT, LEE | I | WESTMOORE PARTNERS, INC. | D | Control |
| SUGARMAN, JASON, ADAM | I | MKA CAPITAL GROUP ADVISORS, INC. | D | Control |
Registrations
Federal
IA
Apr 1, 2009 REGISTERED
Notice Filings (2)
CO NE
Address
KEY BANK BUILDING3300 E. FIRST AVENUE, SUITE 490
DENVER, CO 80206
United States
Phone: 303-333-7779