Cutwater Investor Services Corp. is a large advisory firm based in New York. It manages $14.99 billion of regulatory assets for 144 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.
Cutwater Investor Services Corp provides portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Cutwater Investor Services Corp. is $14.99 billion. The firm's AUM has grown by 18% since the beginning of its operation, and $1.55 billion of the total AUM is attributable to clients outside of the United States.
The advisory firm has several streams of revenue. Clients pay Cutwater Investor Services Corp. for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to insurance companies, investment companies, charitable organizations, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Charles Farquharson is insurance companies with 42 clients and $7.32 billion of assets under management. Among the 10 most similar advisory firms, Cutwater Investor Services Corp has the 2nd highest percentage of insurance companies out of all clients.
The amount of regulatory assets under management is $14.99 billion for 144 clients. 10% of the firm’s clients are foreign persons or businesses.
Cutwater Investor Services Corp also advises several private funds. Namely, four securitized asset funds. The minimum investment commitment required of non-related persons ranges from $25,000 to $250,000.
The company employs 53 people that are either part- or full-time employees. 49 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.
There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.
Charles Farquharson has been acting as President since 1 Jan 2015. Seth Gelman joined the executive team most recently as the Chief Compliance Officer.
The principal office where Cutwater Investor Services Corp. performs its advisory services is located at 200 Park Avenue, New York, NY 10166, which is also the mailing address of the firm. An additional office of the firm is in Denver, CO. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 212-365-3100. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at cutwater.com.