WATERLOO CAPITAL
Firm details
- Headquarters
- AUSTIN, Texas
- CRD number
- 133705
- Registered since
- March 11, 2005
- Website
- waterloocap.com
- Custodians
- CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees, Commissions
- Client types
- HNWI73%
- Individuals17%
- Pension & Profit Sharing Plans10%
- Services
- Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other Advisers
Firm profile
FINTRXOverview
Waterloo Capital is an independent registered investment adviser organized as a partnership and SEC-registered since 2005. The firm acts as a capital allocator for both individual/family and institutional clients, offering financial planning, portfolio management for individuals and small businesses, pension consulting and manager selection. Its business model includes broker-dealer and insurance brokerage activities alongside advisory services, and its fee arrangements include percentage-of-AUM billing plus hourly and fixed fees and commission-based options. Investment positioning leans toward equity exposure, with a stated preference for exchange-traded equities. Waterloo Capital is not identified as an active ESG investor and its regulatory footprint is not described as multi-state for advisory registration in the available data.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities40%
- Public Funds/Mutual Funds20%
- State & Local Bonds10%
- Cash & Cash Equivalents10%
- Non-Exchange Traded Equities5%
Owners & executives
3 of 4Steven Schultheis
Chief Operating OfficerCRD 7409366
ADAM ROSE
Chief Operating OfficerCRD 7902087
BENNETT WOODWARD
Chief Investment OfficerCRD 4370808
Contacts
3 of 48BENJAMIN FULLER
Financial AdvisorCRD 4592882
George Abiassi
Managing DirectorCRD 7800080
Dax Weindorf
Registered RepresentativeCRD 5461216
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 192Active vs passive
$1B in ETFs
71%
$709M
24%
$292M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES CORE S&P 500 ETF (IVV) | BlackRock | Passive | Large Blend | $52.4M | 80,219 | 5.23% |
Location
AUSTIN, TX
TRAVIS
Location
AUSTIN, TX
Headquartered in AUSTIN, TX, in the South of the United States.
- Region
- South
- County
- TRAVIS
- Address
- 2801 Via Fortuna
- Time zone
- CT (UTC-6)
- Office locations
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