WATERFIELD ASSET MANAGEMENT, LLC

CRD #156395 SEC #801-72228 NEW YORK, NY 212-786-1784

SEC Registered

Total AUM

$2.4B

Discretionary

$132.3M

Employees

Clients

Accounts

Firm Details

Organization Type: Limited Liability Company
State of Formation: Delaware
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Apr 18, 2012
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
WATERFIELD, JOHN, RANDALL	I	CHIEF COMPLIANCE OFFICER, MANAGING MEMBER AND TRUSTEE OF TRUST	NA	Control
WATERFIELD, JOHN, RANDALL	I	CHIEF COMPLIANCE OFFICER, MANAGING MEMBER AND TRUSTEE OF TRUST	NA	Control
WATERFIELD, JOHN, RANDALL	I	CHIEF COMPLIANCE OFFICER, MANAGING MEMBER AND TRUSTEE OF TRUST	NA	Control
WATERFIELD, JOHN, RANDALL	I	CHIEF COMPLIANCE OFFICER, MANAGING MEMBER AND TRUSTEE OF TRUST	NA	Control
WATERFIELD, JOHN, RANDALL	I	CHIEF COMPLIANCE OFFICER	NA	Control
WATERFIELD, JOHN, RANDALL	I	CHIEF COMPLIANCE OFFICER, MANAGING MEMBER AND TRUSTEE OF TRUST	NA	Control
WATERFIELD, JOHN, RANDALL	I	CHIEF COMPLIANCE OFFICER, MANAGING MEMBER AND TRUSTEE OF TRUST	NA	Control
WATERFIELD, RICHARD, RHINEHART	I	MANAGING MEMBER AND TRUSTEE OF TRUST	NA	Control
WATERFIELD, RICHARD, RHINEHART	I	MANAGING MEMBER AND TRUSTEE OF TRUST	NA	Control
WATERFIELD, RICHARD, RHINEHART	I	MANAGING MEMBER AND TRUSTEE OF TRUST	NA	Control
WATERFIELD, RICHARD, RHINEHART	I	MANAGING MEMBER AND TRUSTEE OF TRUST	NA	Control
WATERFIELD, RICHARD, RHINEHART	I	TRUSTEE	NA	Control
WATERFIELD, RICHARD, RHINEHART	I	MANAGING MEMBER AND TRUSTEE OF TRUST	NA	Control
WATERFIELD, RICHARD, RHINEHART	I	MANAGING MEMBER AND TRUSTEE OF TRUST	NA	Control
JRW IRREVOCABLE TRUST	DE	OWNER	D	Control
JRW IRREVOCABLE TRUST	DE	OWNER	D	Control
JRW IRREVOCABLE TRUST	DE	OWNER	D	Control
JRW IRREVOCABLE TRUST	DE	OWNER	D	Control
JRW IRREVOCABLE TRUST	DE	OWNER	D	Control
JRW IRREVOCABLE TRUST	DE	OWNER	D	Control
JRW IRREVOCABLE TRUST	DE	OWNER	D	Control
RICHARD R. WATERFIELD INSURANCE TRUST	DE	OWNER	D	Control
RICHARD R. WATERFIELD INSURANCE TRUST	DE	OWNER	D	Control
RICHARD R. WATERFIELD INSURANCE TRUST	DE	OWNER	D	Control
RICHARD R. WATERFIELD INSURANCE TRUST	DE	OWNER	D	Control
RICHARD R. WATERFIELD INSURANCE TRUST	DE	OWNER	D	Control
RICHARD R. WATERFIELD INSURANCE TRUST	DE	OWNER	D	Control
RICHARD R. WATERFIELD INSURANCE TRUST	DE	OWNER	D	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
WATERFIELD, JOHN, RANDALL	I	RICHARD R. WATERFIELD INSURANCE TRUST	F	Control
WATERFIELD, JOHN, RANDALL	I	RICHARD R. WATERFIELD INSURANCE TRUST	F	Control
WATERFIELD, JOHN, RANDALL	I	RICHARD R. WATERFIELD INSURANCE TRUST	F	Control
WATERFIELD, JOHN, RANDALL	I	RICHARD R. WATERFIELD INSURANCE TRUST	F	Control
WATERFIELD, JOHN, RANDALL	I	RICHARD R. WATERFIELD INSURANCE TRUST	F	Control
WATERFIELD, JOHN, RANDALL	I	RICHARD R. WATERFIELD INSURANCE TRUST	F	Control
WATERFIELD, RICHARD, RHINEHART	I	JRW IRREVOCABLE TRUST	F	Control
WATERFIELD, RICHARD, RHINEHART	I	JRW IRREVOCABLE TRUST	F	Control
WATERFIELD, RICHARD, RHINEHART	I	JRW IRREVOCABLE TRUST	F	Control
WATERFIELD, RICHARD, RHINEHART	I	JRW IRREVOCABLE TRUST	F	Control
WATERFIELD, RICHARD, RHINEHART	I	JRW IRREVOCABLE TRUST	F	Control
WATERFIELD, RICHARD, RHINEHART	I	JRW IRREVOCABLE TRUST	F	Control

Registrations

Federal

Apr 18, 2012 REGISTERED

Notice Filings (5)

CA DE FL IN NY

Address

140 BROADWAY, 46TH FLOOR
NEW YORK, NY 10005
United States

Phone: 212-786-1784