WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC
Adviser information for WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC last updated from Form ADV on March 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 324 | $150.1M |
| Total | 324 | $150.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 81 | $37.9M |
| HNW Individuals | 12 | $106.8M |
| Banking or thrift institutions | <5 | $5.4M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerRegistered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-108907 |
|---|---|
| SEC ERA File Number | 801-108907 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 144172 |
| Legal Entity Identifier | None |
Principal Office
14275 MIDWAY ROADSUITE 138
ADDISON
TX
United States
Monday - Friday, 7-4
Tel: 214-363-6920, Fax: 214-363-6930
Websites
Chief Compliance Officer
DAVID O'CONNOR
PRESIDENT
14275 MIDWAY ROAD
SUITE 138
ADDISON
TX
United States
Tel:
214-363-6920
Fax:
214-363-6930
D****@*******************M
(Full email address available in API data)
Regulatory Contact
CATHY VASILEV
CONSULTANT
1101 ARROW POINT DR.
SUITE 301
CEDAR PARK
TX
United States
Tel:
512-696-1468
Fax:
512-842-7497
C*******@*******************M
(Full email address available in API data)
Industry Affiliates
| WATERFORD CAPITAL, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OCONNOR, DAVID, PATRICK | Individual | – | MANAGING MEMBER, PRESIDENT AND CHIEF COMPLIANCE OFFICER | 05/2007 | > 75% |