Waterton Associates L.L.C. (Chicago)


Waterton Associates L.L.C. is a pension cosultant based in Chicago. It manages $71.68 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2013.

Waterton Associates L.L.C provides pension consulting services and manage commingled funds that invest in real estate. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Waterton Associates L.L.C: assets under management

The assets under management (AUM) of Waterton Associates L.L.C. is $71.68 million, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $71.68 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $71.68 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Waterton Associates L.L.C. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Waterton Associates L.L.C.

Marc (Nmn) Swerdlow has been acting as President since 1 Sep 2010. Douglas George Denyer joined the executive team most recently as the Chief Financial Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
David Reuben Schwartz Manager 1 Jun 1995 Other 6025768
Peter Michael Vilim Manager 1 Jun 1995 Other 6025770
Gregory John Lozinak Chief operating officer 1 Mar 2007 Other 6025773
L.L.C. Waterton Enterprises Member 1 Jan 2010 75% - 100% 27-0358418
Corp. Waterton Sv Member 1 Jan 2010 75% - 100% 27-0358496
Marc (Nmn) Swerdlow President 1 Sep 2010 Other 6025772
Erin Harris Ankin Chief compliance officer 1 Dec 2011 Other 6026172
Douglas George Denyer Chief financial officer 1 Jan 2013 Other 4045640

Indirect Owners

The SEC currently registers 11 indirect owners.

Name Entity Date acquired Ownership Employer ID
L.L.C. Waterton Group Member 1 Jan 2010 75% - 100% 27-0358380
L.L.C. Schwartz Consolidated Member 1 Jan 2010 50% - 75% 27-0357725
L.L.C. Vilim Family Holdings Member 1 Jan 2010 50% - 75% 27-0358155
David R. Scwartz Family Gift Trust Member 1 Jun 2011 25% - 50% 36-7470236
Jamie Diamond Schwartz Family Gift Trust Member 1 Jun 2011 25% - 50% 36-7470235
David Reuben Schwartz Trustee 1 Jun 2011 Other 6025768
Peter Vilim Family Gift Trust Member 1 Jun 2011 25% - 50% 36-7468663
Joan Vilim Family Gift Trust Member 1 Jun 2011 25% - 50% 36-7468662
Peter Michael Vilim Trustee 1 Jun 2011 Other 6025770
Jamie Diamond Schwartz Trustee 1 Jun 2011 Other 4344198
Joan Mostardi Vilim Trustee 1 Jun 2011 Other 1351232

Based in Chicago

The principal office where Waterton Associates L.L.C. performs its advisory services is located at 30 S. Wacker Drive, Suite 3600, Chicago, IL 60606, which is also the mailing address of the firm. An additional office of the firm is in Plano, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-948-4500 or by fax 312-948-4501. The normal business hours are 8:30 am to 5:30 pm on Monday - Friday. You can find more information about the New York firm at www.watertonassociates.com.