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| Happy Holidays!! thanks for using AUM13F!! |
| Waterfall Asset Management LLC
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| CRD # | 137746 |
| SEC # | 801-65087 |
| CIK # | 0001570717 |
| AUM | $25.3 B (2025-03-31) |
| Employees | 141 (38% Investors, 0% Brokers) |
| Phone | 212-257-4600 |
| Address | 1251 Avenue of The Americas New York, NY 10020 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($B) |
|---|
| Sector | Form 13F Holdings | Value ($M) | |
|---|---|---|---|
| ZAIS Financial Corp | 17.1 | ||
| Apple REIT Nine Inc | 4.7 | ||
| Washington Real Estate Investment Trust | 2.6 | ||
| Anchor Funding Services Inc | 2.0 | ||
| American Realty Capital Global Daily Net Asset Value Trust Inc | 1.5 | ||
| New Residential Investment Corp | 1.5 | ||
| Park Hotels & Resorts Inc | 1.1 | ||
| Colony NorthStar Credit Real Estate Inc | 1.0 | ||
| Holdings by Sector ($M) |
|---|
| Type | Form D Funds | Date | Sold ($M) | AUM ($M) |
|---|---|---|---|---|
| HF | Waterfall Private Asset-Backed Credit Master Fund I ERISA LP | [2025-03-31] | 0.0 | 252.4 |
| HF | Waterfall Private Asset-Backed Credit Master Fund I LP | [2025-03-31] | 0.0 | 0.0 |
| HF | Waterfall Augusta Fund LP | 2024-11-05 | 102.6 | |
| HF | Waterfall Big Falls Opportunity Fund I LP - Series B | [2024-11-05] | 100.2 | 102.7 |
| HF | Waterfall LaSalle Fund LLC - Series B | [2024-11-05] | 150.0 | 102.7 |
| HF | Waterfall LaSalle Fund LLC - Series A | [2024-05-10] | 150.0 | 69.8 |
| HF | Lake Cascade Fund LP | 2024-03-28 | 1,696.0 | |
| HF | LMAP 904 Limited | 2024-03-28 | 55.4 | |
| HF | Waterfall Silver Spring Fund LP | [2024-03-28] | 200.2 | 110.0 |
| HF | Waterfall Dislocation Opportunity Master Fund II LP | [2024-02-27] | 48.0 | 212.0 |
| View All | ||||
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 3 | 11.9 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 45 | 12.4 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.2 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 10 | 0.9 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 61 | 25.3 |
| By Discretionary | ||
| Discretionary | 61 | 25.3 |
| Non-Discretionary | 0 | 0.0 |
| Total | 61 | 25.3 |
| By Non-United States Persons | ||
| Non-United States Persons | 8.2 | |
| United States Persons | 17.0 | |
| Total | 61 | 25.3 |
| Form D Directors | # Filings | # Firms | 2011 - 2025 | |
|---|---|---|---|---|
| Sean Flynn | 165 | |||
| Patrick Harrigan | 134 | |||
| Alan Tooker | 131 | |||
| Damian Juric | 52 | |||
| Ramona Bowry | 31 | |||
| Bobby Liu | 18 | |||
| Philip Sivin | 9 | |||
| Jack Ross | 43 | |||
| Waterfall Asset Management LLC | 41 | |||
| Kenneth Nick | 34 | |||
| View All | ||||
| EDGAR Form | CIK | 2011 - 2025 |
|---|---|---|
| 13F-HR | [0001570717] | |
| 3 | [0001570717] | |
| 4 | [0001570717] | |
| SC 13D | [0001570717] | |
| SC 13G | [0001570717] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Waterfall Asset Management LLC | Sutherland Asset Management Corp | [2016-11-10] |
| Waterfall Asset Management LLC | FlexShopper Inc | [2015-03-16] |
| Waterfall Asset Management LLC | Jacksonville Bancorp Inc /FL/ | [2013-02-28] |
| Form 3/4/5 Subject | 2011 - 2025 |
|---|---|
| Ready Capital Corp | |
| Waterfall Asset Management, LLC | |
| FlexShopper, Inc. |
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