{
  "crd_number": 173220,
  "slug": "waterfront-wealth-inc-overland-park-ks-173220",
  "primary_business_name": "WATERFRONT WEALTH INC.",
  "legal_name": "WATERFRONT WEALTH INC.",
  "dbas": [
    "WATERFRONT ASSET MANAGEMENT",
    "WATERFRONT WEALTH ADVISORS",
    "WATERFRONT WEALTH MANAGEMENT"
  ],
  "city": "Overland Park",
  "state": "KS",
  "country": "United States",
  "cbsa_code": "28140",
  "metro": {
    "cbsa_code": "28140",
    "common_name": "Kansas City",
    "msa_name": "Kansas City, MO-KS",
    "path": "/advisors/mo/kansas-city"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2017-03-22",
  "years_registered": 9,
  "period": "2026-10-01",
  "filing_date": "2026-08-19",
  "carried_forward": false,
  "raum_total": 1138000000.0,
  "raum_discretionary": 1138000000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 14,
  "advisory_employees": 9,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 37000000.0,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 150000000.0,
      "count": 527
    },
    "pension_profit_sharing": {
      "raum": 5000000.0,
      "count": null,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 935000000.0,
      "count": 265
    },
    "corporations_other_businesses": {
      "raum": 11000000.0,
      "count": null,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "FL",
    "IA",
    "IL",
    "KS",
    "MI",
    "MO",
    "NC",
    "NE",
    "SC",
    "TX",
    "VT"
  ],
  "websites": [
    "https://facebook.com/waterfrontadvisors",
    "https://instagram.com/waterfront_advisors",
    "https://linkedin.com/company/waterfront-advisors",
    "https://waterfrontadvisors.com",
    "https://waterfrontam.com",
    "https://waterfrontwealth.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/173220",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": "OVERLAND PARK",
  "url": "https://advisorcensus.com/firm/waterfront-wealth-inc-overland-park-ks-173220",
  "display_name": "Waterfront Wealth Inc.",
  "summary": "Waterfront Wealth Inc. is an SEC-registered investment advisory firm in Overland Park, KS, registered since 2017, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated August 19, 2026.",
  "citation": "AdvisorCensus. Waterfront Wealth Inc. (CRD 173220): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Waterfront Wealth Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Waterfront Wealth Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Waterfront Wealth Inc. located?",
      "a": "Waterfront Wealth Inc.'s principal office is in Overland Park, KS, according to its Form ADV."
    },
    {
      "q": "Is Waterfront Wealth Inc. registered with the SEC or a state?",
      "a": "Waterfront Wealth Inc. is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 173220."
    },
    {
      "q": "How much does Waterfront Wealth Inc. manage?",
      "a": "Waterfront Wealth Inc. reports $1,138,000,000 in regulatory assets under management in its Form ADV filing dated August 19, 2026 (100% discretionary)."
    },
    {
      "q": "How have Waterfront Wealth Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Waterfront Wealth Inc.: Regulatory assets under management: $640,000,000 in the October 2021 data and $1,138,000,000 in the October 2026 data, up 78%. Total employees: 11 in October 2021 and 14 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Waterfront Wealth Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (527); high net worth individuals (265)."
    },
    {
      "q": "Which custodians does Waterfront Wealth Inc. use?",
      "a": "Waterfront Wealth Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Wells Fargo Clearing Services, LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Waterfront Wealth Inc. report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). 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/173220"
    },
    {
      "q": "What changed in Waterfront Wealth Inc.'s recent Form ADV filings?",
      "a": "In the September 2026 filing data: Registered or notice-filed in CO."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 640000000.0,
      "total_employees": 11,
      "filing_date": "2021-09-02"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 675000000.0,
      "total_employees": 13,
      "filing_date": "2022-08-23"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 645000000.0,
      "total_employees": 14,
      "filing_date": "2023-09-20"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 775000000.0,
      "total_employees": 13,
      "filing_date": "2024-06-20"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 890000000.0,
      "total_employees": 13,
      "filing_date": "2025-06-18"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 1138000000.0,
      "total_employees": 14,
      "filing_date": "2026-08-19"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-09-01",
      "period_label": "September 2026",
      "notes": [
        "Registered or notice-filed in CO."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $890,000,000 to $1,138,000,000 (+28%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Wells Fargo Clearing Services, LLC",
      "name_as_filed": "WELLS FARGO CLEARING SERVICES, LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/waterfront-wealth-inc-overland-park-ks-173220.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 527,
      "fewer_than_5": false,
      "raum": 150000000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 265,
      "fewer_than_5": false,
      "raum": 935000000.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 5000000.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": 37000000.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": null,
      "fewer_than_5": true,
      "raum": 11000000.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/173220",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}