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 registered with the SEC since 2005. The firm serves both individual/family clients and institutional accounts, offering financial planning, portfolio management for individuals and small businesses, pension consulting, and the selection of other advisers. Waterloo Capital operates as a capital allocator and also conducts brokerage and insurance-broker activities. Its fee model is mixed — percentage-of-AUM arrangements alongside hourly, fixed-fee and commission billing. The firm does not appear to position itself as an active ESG investor.
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 5
Steven Schultheis
Chief Operating OfficerCRD 7409366
Adam Rose
Chief Operating OfficerCRD 7902087
Bennett Woodward
Chief Investment OfficerCRD 4370808
Contacts
3 of 50
Benjamin 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 244Active vs passive
$1.3B in ETFs
60%
$778M
27%
$514M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| STATE STREET(R) SPDR(R) PORTFOLIO S&P 500(R) ETF (SPYM) | State Street | $74.8M | 851,658 | 5.79% |
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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