Waters Capital Advisers, LLC (Denver)


Waters Capital Advisers, LLC is an adviser based in Denver. It manages $19 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Colorado and Nebraska.

Waters Capital Advisers provides market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Waters Capital Advisers: assets under management

The assets under management (AUM) of Waters Capital Advisers, LLC is $19 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -64% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $19 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $19 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Waters Capital Advisers, LLC 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 Waters Capital Advisers, LLC

James Joseph Waters has been acting as President since 1 Jan 2002. Westmoore Investment Lp joined the executive team most recently as the Owner.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
James Joseph Waters President 1 Jan 2002 75% - 100% 459785
James Joseph Waters Chief compliance officer 1 Oct 2004 75% - 100% 459785
Inc. Mka Capital Group Advisors Shareholder 1 Apr 2006 25% - 50% 54-2165363
Westmoore Investment Lp Owner 1 Jan 2008 75% - 100% 33-0888477

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Matthew Ray Jennings Chief executive officer 1 Jul 1998 50% - 75% 2362486
Robert Lee Jennings Secretary 1 Jul 1998 50% - 75% 2455552
Inc. Westmoore Partners General partner 1 Jan 2000 Other 33-0823519
Michael Anthony Abraham Chief executive officer 1 Dec 2004 50% - 75% 736574
Jason Adam Sugarman President 1 Dec 2004 50% - 75% 4194988

Based in Denver

The principal office where Waters Capital Advisers, LLC performs its advisory services is located at Key Bank Building, Denver, CO 80206, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 303-333-7779 or by fax 303-468-0202. The normal business hours are 8:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at www.sonatafunds.com.