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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

BLUE WATER CAPITAL MANAGEMENT, LLC

CRD 143414

SYRACUSE, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fee33174-8b0e-d8e5-e5b9-c32db527eb68

Data as of Nov 13, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 5
On other graphs: 1
Observed: Mar 26, 2012 to Nov 13, 2023
23 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Blue Water Capital Management, LLC

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $150MItem 5.F on the latest filing (2023-11-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $150M
Private client RAUM: $90.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 60%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 642
Individual clients: 299
High net worth clients: 20
SEC number: 801-67718
CRD: 143414
Filings on the tape: 23
First filed: Mar 26, 2012
Latest filed: Nov 13, 2023
Organised: Limited Liability Company, New York

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BROWN, THOMAS	PARTNER-WEALTH MANAGEMENT, RETIREMENT PLAN SERVICES	B	yes	09/2016	Mar 31, 2017	Nov 13, 2023
PAGANELLI, JOHN, ANDREW	PRESIDENT, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, SECRETARY	C	yes	06/2011	Mar 26, 2012	Nov 13, 2023
SWIFT, STEPHEN, DEAN	CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER, CHIEF MARKETING OFFICER	D	yes	06/2011	Mar 26, 2012	Nov 13, 2023

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 8, 2023	$150M	$150M	4	3	0	n/a	n/a
2021	Feb 25, 2022	$182M	$182M	4	4	1	n/a	n/a
2020	Mar 11, 2021	$133M	$133M	4	4	1	n/a	n/a
2019	Mar 13, 2020	$114M	$114M	4	4	1	n/a	n/a
2018	Mar 26, 2019	$94.8M	$94.8M	4	4	1	n/a	n/a
2017	Mar 29, 2018	$94.8M	$94.8M	5	4	0	n/a	n/a
2016	Mar 31, 2017	$83.7M	$83.7M	5	4	n/a	n/a	n/a
2015	Mar 30, 2016	$76.4M	$76.0M	6	5	n/a	n/a	n/a
2014	Mar 30, 2015	$95.6M	$95.2M	6	5	n/a	n/a	n/a
2013	Mar 28, 2014	$105M	$105M	7	4	n/a	n/a	n/a
2012	Apr 1, 2013	$118M	$115M	7	4	n/a	n/a	n/a
2011	Mar 26, 2012	$114M	$109M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$150M	$182M	-17.3%	$114M	9.7%	4	4	0	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PERIGON WEALTH MANAGEMENT, LLC	3	Mar 29, 2024	Jan 3, 2024	SYRACUSE, NY	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (3)

← SWIFT, STEPHEN, DEANOwnerCHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER, CHIEF MARKETING OFFICER, ownership code D, individual
Mar 26, 2012 to presentfactForm ADV
← PAGANELLI, JOHN, ANDREWOwnerPRESIDENT, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, SECRETARY, ownership code C, individual
Mar 26, 2012 to presentfactForm ADV
← BROWN, THOMASOwnerPARTNER-WEALTH MANAGEMENT, RETIREMENT PLAN SERVICES, ownership code B, individual
Mar 31, 2017 to presentfactForm ADV

Registered with (3)

← STEPHEN DEAN SWIFTAdvisorregistration: previous registration
May 12, 2021 to Mar 29, 2024factForm ADV
← JOHN ANDREW PAGANELLIAdvisorregistration: previous registration
May 25, 2021 to Mar 29, 2024factForm ADV
← THOMAS WILLIAM BROWNAdvisorregistration: previous registration
May 25, 2021 to Mar 29, 2024factForm ADV

Moved with (1)

→ PERIGON WEALTH MANAGEMENT, LLCRegistered adviser3 advisors, firm absorbed, same day
Mar 29, 2024 to Jan 3, 2024factForm ADV

Dated events

Occurred
Mar 29, 2024
Firm absorbed
Blue Water Capital Management, LLC's advisors moved to Perigon Wealth Management, LLC (Syracuse, NY): 3 of 3 registered, on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Mar 29, 2024
Advisor changed firm
John Andrew Paganelli left Blue Water Capital Management, Llc for Perigon Wealth Management, Llc (registered 2024-01-03)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2024
Advisor changed firm
Thomas William Brown left Blue Water Capital Management, Llc for Perigon Wealth Management, Llc (registered 2024-01-03)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2024
Advisor changed firm
Stephen Dean Swift left Blue Water Capital Management, Llc for Perigon Wealth Management, Llc (registered 2024-01-03)
Form ADVobserved 4 days ago
Occurred
Mar 26, 2019
Control person left
Bruce Robert Bachman (Owner) no longer on Schedule A of Blue Water Capital Management, Llc (listed 2018-12-20, absent 2019-03-26)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fee33174-8b0e-d8e5-e5b9-c32db527eb68
First observed: Mar 26, 2012
Last observed: Nov 13, 2023 34 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BLUE WATER CAPITAL MANAGEMENT, LLC

CRD 143414

SYRACUSE, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fee33174-8b0e-d8e5-e5b9-c32db527eb68

Data as of Nov 13, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:39 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROWN, THOMAS

PARTNER-WEALTH MANAGEMENT, RETIREMENT PLAN SERVICES

yes

09/2016

Mar 31, 2017

Nov 13, 2023

PAGANELLI, JOHN, ANDREW

PRESIDENT, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, SECRETARY

yes

06/2011

Mar 26, 2012

Nov 13, 2023

SWIFT, STEPHEN, DEAN

CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER, CHIEF MARKETING OFFICER

yes

06/2011

Mar 26, 2012

Nov 13, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 8, 2023

$150M

n/a

2021

Feb 25, 2022

$182M

n/a

2020

Mar 11, 2021

$133M

n/a

2019

Mar 13, 2020

$114M

n/a

2018

Mar 26, 2019

$94.8M

n/a

2017

Mar 29, 2018

$94.8M

n/a

2016

Mar 31, 2017

$83.7M

n/a

2015

Mar 30, 2016

$76.4M

$76.0M

n/a

2014

Mar 30, 2015

$95.6M

$95.2M

n/a

2013

Mar 28, 2014

$105M

n/a

2012

Apr 1, 2013

$118M

$115M

n/a

2011

Mar 26, 2012

$114M

$109M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$150M

$182M

-17.3%

$114M

9.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PERIGON WEALTH MANAGEMENT, LLC

Mar 29, 2024

Jan 3, 2024

SYRACUSE, NY

Firm absorbed

RIA to RIA

100.0%