CUTWATER INVESTOR SERVICES CORP.

CUTWATER INVESTOR SERVICES CORP. of NEW YORK, NY is an SEC-registered investment adviser (CRD 107200). Regulatory assets under management: $15.0B.

Registration

Name	Role	Location
OBRIEN VINCENT JOSEPH	CHIEF COMPLIANCE OFFICER	—
HARRIS MITCHELL EVAN	CHAIRMAN	—
CORSO CLIFFORD DEAN	CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER; DIRECTOR AND CHIEF EXECUTIVE OFFICER (+2 more)	—
WALZ RICHARD JOHN	CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR	—
CHUBINSKY LEONARD ISRAEL	GENERAL COUNSEL AND SECRETARY	—
MORRIS MARC DANA	DIRECTOR; DIRECTOR AND TREASURER	—
FALLON WILLIAM CHARLES	DIRECTOR	—
BERRIGAN EDMUND GERARD	DIRECTOR AND HEAD OF PORTFOLIO MANAGEMENT; DIRECTOR AND MANAGING DIRECTOR	—
JORDAN THOMAS	MANAGING DIRECTOR	—
DONOVAN MARY KATHLEEN	VICE PRESIDENT	—
DUNTON GARY CHARLES	DIRECTOR	—
BUDNICK NEIL G	TREASURER AND DIRECTOR	—
SHULMAN ROBIN JAYNE	CHIEF COMPLIANCE OFFICER	—
SEVELY JOSEPH LOWNDES	DIRECTOR AND CHIEF FINANCIAL OFFICER; TREASURER AND DIRECTOR	—
MOROS CHRISTOS	CHIEF OPERATING OFFICER	—
HOUCK MICHELLE C	CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND CHIEF LEGAL OFFICER	—
HELLER FRANCIE	PRESIDENT AND DIRECTOR	—
BROWN WILLIAM THACHER	DIRECTOR	—
STORCH ERIC DANIEL	DIRECTOR	—
BRISK GREGORY ALLAN	DIRECTOR	—
FARQUHARSON CHARLES	DIRECTOR	—
PAGANO DANIELLE MARIA	DIRECTOR	—
GELMAN SETH	CHIEF COMPLIANCE OFFICER	—
NAUPHAL ABDALLAH HABIB	DIRECTOR	—
ELIOT JONATHAN	DIRECTOR	—

Fund	Type	Formed	Owners	Gross asset value	Min investment
3698751740	Securitized Asset Fund	—	3	$444.1M	$50K
7842248144	Securitized Asset Fund	—	2	$391.3M	$250K
1803804980	Securitized Asset Fund	—	4	$388.4M	$25K
8417378561	Securitized Asset Fund	—	2	$66.1M	$200K