Cutwater Colorado Investor Services Corp. (Denver)

Name: Cutwater Colorado Investor Services Corp.
Address: 1900 Sixteenth Street, Denver, CO, 80202
Telephone: 866-766-3030

Cutwater Colorado Investor Services Corp. is a large advisory firm based in Denver. It manages $3.71 billion of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdiction of Colorado.

Cutwater Colorado Investor Services Corp provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Cutwater Colorado Investor Services Corp: assets under management

The assets under management (AUM) of Cutwater Colorado Investor Services Corp. is $3.71 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -19% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.71 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.86 billion each.

Cutwater Colorado Investor Services Corp has custody of $3.71 billion in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Cutwater Colorado Investor Services Corp. for their services and products based on a percentage of assets under management. 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 Cutwater Colorado Investor Services Corp.

Richard John Walz has been acting as President since 1 Feb 1999. Michelle C Houck joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Richard John Walz	Director	1 Feb 1999	Other	1392836
Leonard Israel Chubinsky	Secretary/director	1 Feb 1999	Other	1779920
Cutwater Investor Services Corp.	Owner	1 Feb 1999	75% - 100%	13-3594521
John Ariola	Vice president and treasurer	1 May 2000	Other	2158812
Clifford Dean Corso	Chairman and director	1 Oct 2004	Other	2477519
Richard John Walz	Chief compliance officer	1 Oct 2004	Other	1392836
Thomas Jordan	President/director	1 Jun 2009	Other	2270062
Joseph Lowndes Sevely	Managing director and cfo	1 Jul 2011	Other	5859817
Christos Moros	Director	1 Jul 2011	Other	5767954
Michael Joseph Obrien	Chief compliance officer	1 Jul 2011	Other	2340336
Michelle C Houck	Chief compliance officer	1 Aug 2011	Other	5989616

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Cutwater Holdings	Indirect owner	1 Sep 1998	75% - 100%	06-1185706
Mbia Inc.	Indirect owner	1 Sep 1998	75% - 100%	06-1185706
L.P.And Affiliates Warburg Pincus Private Equity X	Shareholder common stock	1 Mar 2009	25% - 50%	26-0849130

Based in Denver

The principal office where Cutwater Colorado Investor Services Corp. performs its advisory services is located at 1900 Sixteenth Street, Denver, CO 80202, 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 866-766-3030 or by fax 303-860-0016. The normal business hours are 9am -5 pm on Monday - Friday. You can find more information about the New York firm at www.cutwater.com.