Waterloo Capital

RIASEC RegisteredEst. 2005
Total AUM
$2.3B
Discretionary
$2.1B
93% of AUM
Avg account
$309K
Accounts
7,306
Employees
64
Advisory reps
56

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

FINTRX

Overview

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

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 40%, Public Funds/Mutual Funds 20%, State & Local Bonds 10%, Cash & Cash Equivalents 10%, Non-Exchange Traded Equities 5%, US Government Bonds 5%, Investment Grade Corp Bonds 5%, Other 5%40%
  • Exchange Traded Equities40%
  • Public Funds/Mutual Funds20%
  • State & Local Bonds10%
  • Cash & Cash Equivalents10%
  • Non-Exchange Traded Equities5%

Owners & executives

3 of 5
  • Bennett Woodward

    Bennett Woodward

    Chief Investment OfficerCRD 4370808

  • John Chatmas

    John Chatmas

    Chief Executive OfficerCRD 2208046

  • Gery Sadzewicz

    Gery Sadzewicz

    Chief Executive OfficerCRD 1090963

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Contacts

3 of 51
  • Stuart Huckin

    Stuart Huckin

    Investment Advisor RepresentativeCRD 5755455

  • Robert Russell

    Robert Russell

    Founding PartnerCRD 5872104

  • Donald Simoneaux

    Donald Simoneaux

    President and DirectorCRD 5144175

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 482

Active vs passive

$2.6B in ETFs

Passive

61%

$1.6B

Active

26%

$998M

ETFProviderStyleCategoryValueShares% of portfolio
STATE STREET(R) SPDR(R) PORTFOLIO S&P 500(R) ETF (SPYM)State Street$74.8M851,6582.93%
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Location

Primary office

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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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth