# WATERFALL ASSET MANAGEMENT, LLC

WATERFALL ASSET MANAGEMENT, LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 137746
- Type: SEC-registered investment adviser
- SEC file number: 801-65087
- Location: 1251 AVENUE OF THE AMERICAS, 50TH FLOOR, NEW YORK, NY, 10020
- Phone: 212-257-4600
- Latest filing: 2026-07-23
- Regulatory AUM: $22.0B
- Discretionary AUM: $22.0B
- Clients: 133
- Accounts: 68

## Business model

- Compensation: % of AUM, Performance, Other
- Clients served: Pooled vehicles, Investment cos

## Officers, owners & control persons (23)

| Name | Role | Location |
| --- | --- | --- |
| Thomas Edward Capasse | LIMITED PARTNER; MANAGER | — |
| Jack Jay Ross | LIMITED PARTNER; MANAGER | — |
| Kenneth Adam Nick | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | — |
| Brian Breakstone | CHIEF FINANCIAL OFFICER | — |
| SASS MARTIN DOUGLAS | MANAGER | — |
| LAMLE HUGH ROY | MANAGER | — |
| SIVIN PHILIP MATTHEW | MANAGER; MEMBER | — |
| HICKEY SUSAN GARRISON | CHIEF COMPLIANCE OFFICER | — |
| FRANCESS ROBERT W | CHIEF FINANCIAL OFFICER | — |
| LIU BOBBY | SENIOR VICE PRESIDENT, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER; VICE PRESIDENT AND GENERAL COUNSEL | — |
| SHENFELD STEVEN ALAN | MANAGER | — |
| FRANCESS ROBERT WILLIAM | CHIEF FINANCIAL OFFICER | — |
| CAPASSE THOMAS EDWARD | LIMITED PARTNER; MANAGER; MEMBER/MANAGER | — |
| ROSS JACK JAY | LIMITED PARTNER; MANAGER; MEMBER/MANAGER | — |
| NICK KENNETH ADAM | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | — |
| ARDEN SCOTT D | CHIEF FINANCIAL OFFICER | — |
| DARKE STEPHEN JON | MANAGER | — |
| BREAKSTONE BRAIN | CHIEF FINANCIAL OFFICER | — |
| SETTY SUMANA | CHIEF COMPLIANCE OFFICER | — |
| BREAKSTONE BRIAN | CHIEF FINANCIAL OFFICER | — |
| THOMAS BUTTACAVOLI V | MANAGER; MEMBER | — |
| BUTTACAVOLI THOMAS V | MANAGER | — |
| HADDAD LAURENCE GERMAINE AYALA | CHIEF FINANCIAL OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/137746/brochure
- Similar advisers: https://search.stillhousedata.com/firm/137746/similar
- Related entities: https://search.stillhousedata.com/firm/137746/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/137746

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.