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COO · Waterloo Capital

Adam J. Rose

CRD 7902087 · Named on Form ADV at one SEC-registered adviser

At a glance

Waterloo Capital, an SEC-registered broker-dealer firm based in Austin, TX with $2.3 billion in regulatory assets, lists Adam J. Rose on its Form ADV as COO, a control person.

Firms and roles

  • Waterloo CapitalCOOBroker-dealer firm · Austin, TX · $2.3B in regulatory assets

AtlasMembers

Adam’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Adam’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.