{"url":"https://nivawealth.com/firms/wafra-108673","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/108673","regulatoryAum":29043206587,"crd":"108673","secFileNumber":"801-23491","legalName":"Wafra Inc.","displayName":"Wafra","website":"https://www.wafra.com/","linkedinUrl":"https://www.linkedin.com/company/wafra-inc","founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"345 Park Avenue","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10154-0101"},"tradeNames":[],"registration":{"secApproved":"15 February 1985","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":158,"advisory":69,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":27726509054,"discretionaryAccounts":102,"nonDiscretionary":1316697533,"nonDiscretionaryAccounts":5,"wrapProgram":null,"nonUsClientsPct":69,"nonAumClients":6},"clientTypes":[{"label":"Pooled investment vehicles","clients":77,"regulatoryAum":22259551742},{"label":"Sovereign wealth funds and foreign official institutions","clients":null,"regulatoryAum":437593353},{"label":"Corporations and other businesses","clients":29,"regulatoryAum":6346061492}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Royal Bank of Canada (ci) LTD","shortName":"Royal Bank of Canada (ci)","location":"ST Peter Port","smaAssets":357404537}],"custodyNote":"Wafra has custody of $3.30B for 9 clients.","otherCustodians":[],"leadership":[{"name":"Fergus Healy","title":"Director/Acting Chief Executive Officer/Chief Operating Officer/Senior Managing Director","crd":"6205643"},{"name":"Alexander Massimo","title":"Director/Chief Financial Officer/Managing Director","crd":"5355376"},{"name":"Michael Henry","title":"Chief Compliance Officer/Senior Managing Director","crd":"4935884"},{"name":"Adel Alderbas","title":"Director/Chief Investment Officer/Senior Managing Director","crd":"7529177"},{"name":"Lauren Rich","title":"Director/Managing Director","crd":"6602498"},{"name":"Richard Safranek","title":"Director/Senior Managing Director","crd":"2905175"},{"name":"Jonathan Zanger","title":"Head of Tax and Legal/Managing Director","crd":"8208268"}],"ownership":[{"label":"Wafra Intervest Corporation LTD. (wic)","detail":"Wholly owns registrant in the 75% or more ownership band and a control person, since July 1984."},{"label":"The Public Institution for Social Security (pifss)","detail":"Indirect owner: a wholly owns wic of Wafra Intervest Corporation LTD. (wic) in the 75% or more band and a control person, since May 2026.","parent":"Wafra Intervest Corporation LTD. (wic)"},{"label":"Government of Kuwait","detail":"Indirect owner: a wholly owns pifss of The Public Institution for Social Security (pifss) in the 75% or more band and a control person, since January 1990.","parent":"The Public Institution for Social Security (pifss)"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":2,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"777 Mariners Island BLVD","city":"San Mateo"}]},{"state":"New York","offices":1,"addresses":[{"street":"345 Park Avenue","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-759-3700","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees","Other"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":91},{"label":"Cash and cash equivalents","percent":3},{"label":"Other","percent":7,"detail":"Uncalled Commitments and Receivables Due From Investment Funds"}],"privateFunds":34},"sources":{"adv1FilingDate":"12 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/108673/PDF/108673.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Wafra have?","answer":"Wafra has 106 clients and manages $29 billion for them, as of June 2026. They include 77 pooled investment vehicles and 29 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 12 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wafra offer?","answer":"Wafra provides portfolio management for pooled vehicles, portfolio management for institutions, pension consulting, selecting other managers and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Wafra use?","answer":"Wafra’s separately managed account assets are held at Royal Bank of Canada (ci) LTD (ST Peter Port), with $357,404,537. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wafra have?","answer":"Wafra has 0 investment adviser representatives registered with state securities authorities, out of 158 employees, and 69 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Wafra invest in?","answer":"At the end of its last fiscal year, Wafra’s separately managed accounts held 91% pooled vehicles (private funds and similar), 7% uncalled commitments and receivables due from investment funds and 3% cash and equivalents. It advises 34 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Wafra?","answer":"Wafra is owned through a chain of holding companies by Government of Kuwait. Its direct owner is Wafra Intervest Corporation LTD. (wic) (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 12 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wafra get paid?","answer":"Wafra is paid through a percentage of assets under management, fixed fees, performance-based fees and other arrangements. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":{"url":"https://nivawealth.com/firms/wafra-108673/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-10","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/920440/000117266126003221/0001172661-26-003221-index.html","totalValue":5875000,"positionCount":1,"top10Share":1,"top10":[{"issuer":"CLAROS MTG TR INC","titleOfClass":"COMMON STOCK","cusip":"18270D106","value":5875000,"shares":2500000,"shareType":"SH","priorValue":5950000,"priorShares":2500000}],"positionsListed":1,"positions":[{"issuer":"CLAROS MTG TR INC","titleOfClass":"COMMON STOCK","cusip":"18270D106","value":5875000,"shares":2500000,"shareType":"SH","priorValue":5950000,"priorShares":2500000}]},"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}