Waterfall Asset Management, LLC
New York, NY·SEC-registered · CRD #137746
Waterfall Asset Management, LLC is an SEC-registered investment advisory firm in New York, NY managing $22B across 68 client accounts, with 55 advisory staff.
Regulatory snapshot
Verify on SEC.govRegulatory AUM
$22B
Client accounts
68
Advisory staff
55
Fee model
Fee-only
How Waterfall Asset Management, LLC is paid
Compensation arrangements disclosed on Form ADV. A fee-only firm earns fees only from clients — no product commissions.
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Common questions about Waterfall Asset Management, LLC
How much does Waterfall Asset Management, LLC manage?
Per its most recent SEC Form ADV filing (03/30/2026), Waterfall Asset Management, LLC reports $22B in regulatory assets under management across roughly 68 client accounts.
How does Waterfall Asset Management, LLC charge?
Waterfall Asset Management, LLC is a fee-only firm. Its disclosed compensation arrangements are: % of assets. Exact fee schedules appear in the firm's Form ADV Part 2 brochure — confirm current fees directly with the firm.
Is Waterfall Asset Management, LLC a fiduciary?
Yes. Waterfall Asset Management, LLC is registered with the U.S. Securities and Exchange Commission (CRD #137746), and SEC-registered investment advisers owe a fiduciary duty to act in their clients' best interest. You can verify its registration and any disclosures on the SEC's public record.
Is Waterfall Asset Management, LLC taking new clients like me?
Availability and account minimums vary and aren't in the public filing. The fastest way to find out is the free 2-minute match — it checks Waterfall Asset Management, LLC and comparable advisors against your goals and assets, and only surfaces firms open to your situation.
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Profile compiled from Waterfall Asset Management, LLC's public SEC Form ADV filing (CRD #137746, filed 03/30/2026). AdvisoryReviews is an independent comparison and matching service and is not affiliated with, endorsed by, or a partner of Waterfall Asset Management, LLC. Listing does not imply any relationship. Figures are as reported to the SEC and may have changed; verify current details at adviserinfo.sec.gov. Are you with Waterfall Asset Management, LLC? Claim this profile.