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CUTWATER ASSET MANAGEMENT CORP., CRD 37214
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| AMBASSADOR STRUCTURED FINANCE CDO, LTD. | Securitized Asset Fund | $847M | Mar 28, 2013 | 0 | Mar 28, 2013 | dropped | n/a |
| ART CDO 2006-1, LTD. | Securitized Asset Fund | $572M | Mar 30, 2012 | 0 | Mar 30, 2012 | dropped | n/a |
| CTX CDO I, LTD. | Securitized Asset Fund | $490M | Mar 28, 2013 | 0 | Mar 30, 2012 | dropped | n/a |
| DILLON READ CMBS CDO 2006-1, LTD. | Securitized Asset Fund | $385M | Mar 30, 2012 | 0 | Mar 30, 2012 | dropped | n/a |
| RESERVOIR FUNDING, LTD. | Securitized Asset Fund | $96.0M | Mar 16, 2016 | 2 | Mar 30, 2012 | dropped | n/a |
| 8510672670 | Securitized Asset Fund | $53.2M | Mar 31, 2018 | 2 | Mar 30, 2012 | reported | n/a |
| ACACIA CDO 6, LTD. | Securitized Asset Fund | $39.0M | Jan 23, 2017 | 2 | Mar 30, 2012 | dropped | n/a |
| 4765262782 | Securitized Asset Fund | $1.4M | Mar 31, 2018 | 4 | Mar 30, 2012 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BRISK, GREGORY ALLAN | Director | Na | yes | 01/2015 | Feb 12, 2015 | Mar 31, 2018 |
| CORSO, CLIFFORD, DEAN | CHIEF EXECUTIVE OFFICER | Na | yes | 12/2017 | Mar 30, 2012 | Mar 31, 2018 |
| CUTWATER HOLDINGS, LLC | Owner | E | yes | 02/1998 | Mar 30, 2012 | Mar 31, 2018 |
| ELIOT, JONATHAN | Director | Na | yes | 11/2017 | Dec 22, 2017 | Mar 31, 2018 |
| GELMAN, SETH | CHIEF COMPLIANCE OFFICER | Na | yes | 12/2017 | Dec 22, 2017 | Mar 31, 2018 |
| NAUPHAL, ABDALLAH HABIB | Director | Na | yes | 01/2015 | Feb 12, 2015 | Mar 31, 2018 |
| PAGANO, DANIELLE, MARIA | Director | Na | yes | 11/2017 | Dec 22, 2017 | Mar 31, 2018 |
| THE BANK OF NEW YORK MELLON | INDIRECT OWNER OF CAMC | E | yes | 01/2015 | Feb 12, 2015 | Mar 31, 2018 |
| THE BANK OF NEW YORK MELLON CORPORATION | INDIRECT OWNER | E | yes | 01/2015 | Feb 12, 2015 | Mar 31, 2018 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| BNY MELLON ASSET MANAGEMENT NORTH AMERICA CORPORATION | n/a | Asset manager | $874B | N | yes | n/a |
| THE DREYFUS CORPORATION | n/a | Asset manager | $419B | N | yes | n/a |
| INSIGHT NORTH AMERICA LLC | n/a | Other adviser | $171B | N | yes | n/a |
| WALTER SCOTT & PARTNERS LIMITED | n/a | Other adviser | $67B | N | yes | n/a |
| NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD | n/a | Asset manager | $42B | N | yes | n/a |
| LOCKWOOD ADVISORS INC | n/a | Bank affiliated wealth | $33B | N | yes | n/a |
| BNY MELLON ASSET MANAGEMENT JAPAN LIMITED | n/a | Former SEC adviser | $32B | N | yes | n/a |
| ALCENTRA LIMITED | n/a | Asset manager | $23B | N | yes | n/a |
| CUTWATER INVESTOR SERVICES CORP. | n/a | Former SEC adviser | $15B | N | yes | n/a |
| ALCENTRA NY, LLC | n/a | Asset manager | $14B | N | yes | n/a |
| BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD | n/a | Former SEC adviser | $10B | N | yes | n/a |
| MBSC SECURITIES CORPORATION | n/a | Other adviser | $8.4B | N | yes | n/a |
| INSIGHT INVESTMENT INTERNATIONAL LIMITED | n/a | Former SEC adviser | $3.0B | N | yes | n/a |
| BNY INVESTMENT STRATEGY AND SOLUTIONS GROUP, LLC | n/a | Former SEC adviser | $853M | N | yes | n/a |
| EACM ADVISORS LLC | n/a | Former SEC adviser | $617M | N | yes | n/a |
| AMHERST CAPITAL MANAGEMENT LLC | n/a | Asset manager | $545M | N | yes | n/a |
| MELLON HEDGE ADVISORS, LLC | n/a | Former SEC adviser | $0 | N | yes | n/a |
| ARX INVESTIMENTOS LTDA | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON ADMINISTRACAO DE ATIVOS LTDA. | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON ALOCACAO DE PATRIMONIO LTDA | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON ASSET MANAGEMENT CANADA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON BANCO S.A. | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON CAPITAL MARKETS EMEA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON CAPITAL MARKETS, LLC | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON FUND MANAGERS LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON GLOBAL MANAGEMENT LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON IM KOREA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON INTERNATIONAL MANAGEMENT LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON NATIONAL ASSOCIATION | n/a | n/a | n/a | N | yes | Pa |
| BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOSE E VALORES MOBILIARIOS (DTVM) S.A. | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON TRUST COMPANY (IRELAND) LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON TRUST COMPANY OF ILLINOIS | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON TRUST OF DELAWARE | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON WEALTH MANAGEMENT, ADVISORY SERVICES, INC. | n/a | n/a | n/a | N | yes | n/a |
| CIBC MELLON GLOBAL SECURITIES SERVICES COMPANY | n/a | n/a | n/a | N | yes | n/a |
| CIBC MELLON TRUST COMPANY | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2017 | Mar 31, 2018 | $423M | $241M | 0 | 0 | 1 | 6 | $183M |
| 2016 | Mar 31, 2017 | $528M | $343M | 75 | 40 | n/a | 6 | $184M |
| 2015 | Mar 31, 2016 | $621M | $360M | 68 | 30 | n/a | 7 | $261M |
| 2014 | Mar 31, 2015 | $976M | $582M | 20 | 20 | n/a | 8 | $505M |
| 2013 | Mar 31, 2014 | $5.0B | $4.3B | 30 | 25 | n/a | 8 | $505M |
| 2012 | Mar 28, 2013 | $2.6B | $535M | 30 | 20 | n/a | 10 | $2.0B |
| 2011 | Mar 30, 2012 | $6.3B | $886M | n/a | n/a | n/a | 11 | $2.4B |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2017 | $423M | $528M | -19.8% | $976M | -24.3% | 0 | 75 | 1 | n/a |