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that all the information and documents requested from the client are provided promptly, plans or
consultations are typically completed within six (6) months of the client signing a contract with
MWAM.
Retirement Plan Consulting:
MWAM provides retirement plan consulting services to employer plan sponsors on an ongoing basis.
Generally, such consulting services consist of assisting employer plan sponsors in establishing,
monitoring and reviewing their company's participant-directed retirement plan. As the needs of the
plan sponsor dictate, areas of advising could include: investment options, plan structure and
participant education.
Retirement Plan Consulting services typically include:
• Investment Options – MWAM works with the Plan Sponsor to evaluate existing investments
and make recommendations for appropriate changes.
• Asset Allocation and Portfolio Construction – MWAM develops strategic asset allocation
models to aid Participants in developing strategies to meet their investment objectives, time
horizon, financial situation and tolerance for risk.
• Investment Monitoring – MWAM monitors the performance of the investments and
communicates with clients about their accounts.
All retirement plan consulting services are done in compliance with the applicable state laws
regulating retirement consulting services. This applies to client accounts that are part of any retirement
or other employee benefit plans (“Plan(s)”) governed by the Employee Retirement Income Security Act
of 1974, as amended (“ERISA”). If client accounts are part of a Plan, and MWAM accepts appointment
to provide services to such accounts, MWAM acknowledges its fiduciary standard within the meaning
of Section 3(21) of ERISA as designated by the Retirement Plan Consulting Agreement with respect to
the provision of services described therein. The services described in this section are referred to as
“Retirement Plan Consulting.”
Pooled Investment Vehicles:
MWAM is affiliated with certain private funds listed in Item 7.B.1 of the ADV Part 1A (“Fund(s)”).
Manhattan West Capital, LLC (“MWC”), Manhattan West Finance Group, LLC (“MWFG”), Manhattan
West Private Equity Group, LLC (“MW PE Group”), Manhattan West Late Stage Ventures Manager (“MW
LSV Manager”), Manhattan West Digital Assets Manager, LLC (“MW DA Manager”), Manhattan West
Venture Capital Growth Opportunities Manager, LLC (“MWVCGO Manager”, together with MWFG, MW
PE Group, MW LSV Manager, and MW DA Manager, the “Affiliate Managers”), are the managers or
general partners of the Funds or are otherwise associated with the general partners or managers listed
on Item 7.A. of the Form ADV Part 1A. These general partners and managers are related to the MWAM.
Funds are available to the SMA clients to invest into.
Ancillary and Related Business Services
The following entities (“Service Affiliate(s)”), all of which are affiliated with MWAM, provide ancillary and
related services to clients:
• Manhattan West Insurance Services, LLC;
• Manhattan West Business Management Services, LLC.
• Manhattan West Real Estate, LLC
• Manhattan West Tax Services, LLC
Service Affiliates are affiliated with MWAM through common ownership and management via
Manhattan West Enterprise Company LLC, which is also the parent company of MWAM (collectively,
the services provided by these affiliated entities are referred to as “Ancillary Business Lines”). Below
is a description of each Service Affiliate and its purpose:
Manhattan West Insurance Services LLC provides insurance services to clients electing use of
insurance as part of their financial or business planning.
Manhattan West Business Management Services LLC provides business management services for
clients desiring day-to-day management of their business affairs such as bill pay, cash management,
and related administrative functions.
Manhattan West Real Estate, LLC manages companies that own and/or manage real estate assets. It
also manages Manhattan West Property Management, LLC, which provides property management
services to real estate assets owned by MWAM affiliated Funds.
Manhattan West Tax Services LLC provides tax preparation, planning, and related consulting services.
Client’s wishing to receive services from Ancillary Business Lines must enter into separate agreements
with Service Affiliates. Service Affiliates also serve as a vendor to MWAM affiliated Funds which pay
Service Affiliates for services that could be provided by third parties, which represents a conflict of
interest. MWAM employees may recommend the use of Service Affiliates to clients. MWAM employees
are compensated for each client referred that purchases an Ancillary Business Line service, which
represents a conflict of interest. Additionally, MWAM affiliates, including its parent Manhattan West
Enterprise Company, LLC, receive fees derived from clients’ engagement of Service Affiliates, which
represents a conflict of interest.
Tailoring of Advisory Services
MWAM offers individualized investment advice to Wrap Clients. General investment advice will be
offered to Financial Planning & Consulting and Retirement Plan Consulting clients.
Wrap Clients may place reasonable restrictions on the types of investments to be held in their
accounts. Restrictions on investments in certain securities or types of securities may not be possible
due to the level of difficulty this would entail in managing the account.
Non-Wrap Clients may place restrictions on investments or otherwise direct investments made in their
account (commonly known as “non-discretionary accounts”).
Participation in Wrap Fee Programs
MWAM offers wrap fee accounts to clients, which are managed on an individualized basis according to
the client’s investment objectives, financial goals, risk tolerance, and related considerations. MWAM
sponsors and acts as the portfolio manager for this wrap fee program. Please see Part 2A, Appendix 1
(the “Wrap Fee Program Brochure”) for more information.
Regulatory Assets Under Management
As of December 31, 2022 MWAM managed $727,205,864 of assets on a discretionary basis.
Compensation for Our Advisory Services