Broker-dealer firm · Addison, TX
Waterford Capital Investment Advisory Services LLC
SEC-registered investment adviser · CRD 144172 · SEC 801-108907
At a glance
Waterford Capital Investment Advisory Services LLC is an SEC-registered investment adviser based in Addison, Texas, with $228 million in regulatory assets under management as of its Form ADV filed March 18, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 109 individual clients. By Form ADV it is a broker-dealer firm, ranked 278th of 391 broker-dealer firms and 11,563rd of 17,210 SEC-registered advisers by assets.
Main office 214-363-6920waterfordcapital.comAs filed on Form ADV
- Regulatory AUM
- $228M
- Rank among broker-dealer firms
- #278 of 391
- Rank among all SEC RIAs
- #11,563 of 17,210
- Rank in Texas
- #767 of 1,081
- Individual clients
- 109
- High-net-worth clients
- 27
- Accounts
- 331
- Discretionary
- 0% of AUM
- Employees
- 3
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- David P. OconnorManaging Member, President and Chief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Waterford Capital Investment Advisory Services LLC is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Waterford Capital, Inc..
- Waterford Capital, Inc. ↗CRD 21687
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, January 2026
Its Form ADV brochure (filed March 2026) names Waterford Capital as the broker-dealer its advisers are registered with.
David O’Connor is Principal, FinOp, CCO and a registered representative of Waterford Capital Inc., a broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 27 | $197M | 86% |
| Individuals | 82 | $24M | 11% |
| Banking or thrift institutions | 1 | $7M | 3% |
Disciplinary disclosures
Waterford Capital Investment Advisory Services LLC answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗waterfordcapital.com ↗
AtlasMembers
The full record on Waterford Capital Investment Advisory Services LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 157 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Waterford Capital Investment Advisory Services LLC manage?
Waterford Capital Investment Advisory Services LLC reports $228 million in regulatory assets under management across 331 accounts, on its Form ADV filed March 18, 2026.
What kind of firm is Waterford Capital Investment Advisory Services LLC?
Waterford Capital Investment Advisory Services LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Waterford Capital Investment Advisory Services LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($197 million, 27 clients); individuals ($24 million, 82 clients); banking or thrift institutions ($7 million, 1 clients).
Does Waterford Capital Investment Advisory Services LLC have any disciplinary history?
Waterford Capital Investment Advisory Services LLC answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Waterford Capital Investment Advisory Services LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-18), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →