# Waterford Capital Investment Advisory Services LLC

> Waterford Capital Investment Advisory Services LLC is an SEC-registered investment advisory firm in Addison, TX, registered since 2017, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 18, 2026.

- CRD: 144172
- Filed as: WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Addison, TX
- Filing period: October 2026
- Form ADV filing dated: March 18, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/144172
- AdvisorCensus page: https://advisorcensus.com/firm/waterford-capital-investment-advisory-services-llc-addison-tx-144172

## Quick answers

**How is Waterford Capital Investment Advisory Services LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Waterford Capital Investment Advisory Services LLC reports these compensation arrangements: a percentage of assets under its management.

**How much does Waterford Capital Investment Advisory Services LLC charge?**
Its Form ADV Part 2A brochure dated March 18, 2026 states: Asset-based fee: 1% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Waterford Capital Investment Advisory Services LLC located?**
Waterford Capital Investment Advisory Services LLC's principal office is in Addison, TX, according to its Form ADV.

**Is Waterford Capital Investment Advisory Services LLC registered with the SEC or a state?**
Waterford Capital Investment Advisory Services LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 144172.

**How much does Waterford Capital Investment Advisory Services LLC manage?**
Waterford Capital Investment Advisory Services LLC reports $228,453,367 in regulatory assets under management in its Form ADV filing dated March 18, 2026 (0% discretionary).

**How have Waterford Capital Investment Advisory Services LLC's assets and staff changed since 2021?**
In the Form ADV data for Waterford Capital Investment Advisory Services LLC: Regulatory assets under management: $126,100,000 in the October 2021 data and $228,453,367 in the October 2026 data, up 81%. Total employees: 1 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Waterford Capital Investment Advisory Services LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (82); high net worth individuals (27); banking or thrift institutions (1).

**Which custodians does Waterford Capital Investment Advisory Services LLC use?**
Waterford Capital Investment Advisory Services LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Waterford Capital Investment Advisory Services LLC report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/144172

**Does Waterford Capital Investment Advisory Services LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 18, 2026 says: "We generally impose a minimum account size of $5 million, although we may accept accounts with fewer assets at our discretion."

**What changed in Waterford Capital Investment Advisory Services LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $171,417,575 to $228,453,367 (+33%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 18, 2026)

- Asset-based fee: 1% of assets a year

> Our standard investment management fee for separately managed accounts is 1.00%, although fees are negotiable.

- Account minimum: $5,000,000 (the brochure says it may be waived or negotiated)

> We generally impose a minimum account size of $5 million, although we may accept accounts with fewer assets at our discretion.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $228,453,367
- Discretionary: $0
- Non-discretionary: $228,453,367

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 82 | $24,336,843 |
| High net worth individuals | 27 | $196,907,187 |
| Banking or thrift institutions | 1 | $7,209,337 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2017 (9 years)
- Employees: 3 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: TX
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/144172

### Websites listed on Form ADV (Item 1.I)
- [waterfordcapital.com](https://waterfordcapital.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $126,100,000 | 1 | May 3, 2021 |
| October 2022 | $143,700,000 | 3 | March 30, 2022 |
| October 2023 | $131,097,000 | 3 | March 15, 2023 |
| October 2024 | $150,144,000 | 3 | March 14, 2024 |
| October 2025 | $171,417,575 | 3 | March 18, 2025 |
| October 2026 | $228,453,367 | 3 | March 18, 2026 |

Regulatory assets under management: $126,100,000 in the October 2021 data and $228,453,367 in the October 2026 data, up 81%.
Total employees: 1 in October 2021 and 3 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $171,417,575 to $228,453,367 (+33%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Waterford Capital Investment Advisory Services LLC (CRD 144172): Form ADV filing data as of October 2026.