Waterfall Asset Management

Waterfall Asset Management is an investment management firm focusing on credit and specialty finance strategies.

CCI Score

8.54

-0.02% April 18

Latest Event

Political Appointee Ties Reveal Questionable Corporate Engagement

Financial disclosure records reveal that Waterfall Asset Management, LLC is connected to political appointees holding positions outside government employment. This association raises concerns of potential conflicts of interest and undue influence in political processes, which may undermine democratic accountability.

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OBJECTOR

Waterfall Asset Management is currently rated as an Objector.

0 to +9 CCI Score

These companies deliberately avoid direct involvement with authoritarian practices. While they do not actively challenge oppressive regimes, they maintain a neutral stance to ensure they are not complicit in supporting such systems.

Latest Events

JAN

01

2025

Political Appointee Ties Reveal Questionable Corporate Engagement
-40.00

Financial disclosure records reveal that Waterfall Asset Management, LLC is connected to political appointees holding positions outside government employment. This association raises concerns of potential conflicts of interest and undue influence in political processes, which may undermine democratic accountability.
JAN

01

2021

Robust Ethical Code and Political Contribution Policies
57.08

Waterfall Asset Management released its comprehensive Code of Ethics in January 2021, which emphasizes strict adherence to ethical standards in business practices and explicitly prohibits political contributions intended to influence public policy. This dedication to transparency and accountability minimizes the risk of corporate complicity in bolstering authoritarian practices.
+85

Business Practices and Ethical Responsibility

March 26

The firm’s Code of Ethics demonstrates a robust commitment to business practices and ethical responsibility. Detailed policies on insider trading, conflicts of interest, and prohibitions on exploitative gifting and unethical business practices illustrate a strong internal framework that mitigates risks of corporate misconduct and reduces potential complicity in authoritarian operations.

Code of Ethics of Waterfall - SEC.gov
+90

Political Contributions and Lobbying Efforts

March 26

Waterfall Asset Management enforces strict policies regarding political contributions and lobbying efforts. The Code of Ethics outlines comprehensive restrictions on contributions to public officials and detailed review processes for any political engagement, thereby minimizing the potential for undue influence on public policy and reducing complicity in authoritarian dynamics.

Code of Ethics of Waterfall - SEC.gov