Broker-dealer firm · Austin, TX
Waterloo Capital
Waterloo Capital, L.P. · SEC-registered investment adviser · CRD 133705 · SEC 801-63975
At a glance
Waterloo Capital is an SEC-registered investment adviser based in Austin, Texas, with $2.3 billion in regulatory assets under management as of its Form ADV filed September 24, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 2,609 individual clients. By Form ADV it is a broker-dealer firm, ranked 123rd of 391 broker-dealer firms and 3,384th of 17,210 SEC-registered advisers by assets.
Main office 512-777-5900waterloocap.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.3B
- Rank among broker-dealer firms
- #123 of 391
- Rank among all SEC RIAs
- #3,384 of 17,210
- Rank in Texas
- #173 of 1,081
- Individual clients
- 2,609
- High-net-worth clients
- 924
- Accounts
- 7,306
- Discretionary
- 93% of AUM
- Employees
- 64
- Advisory staff
- 44
- Offices
- 14
Owners and executives on its Form ADV
- Gery J. SadzewiczChief Compliance Officer
- John T. ChatmasCEO
- Donald R. SimoneauxPresident
- Adam J. RoseCOO
- Daniel C. DegraveVP of Operations and Compliance
Custody and brokerage
Broker-dealer
Hybrid RIA
Waterloo Capital is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed July 2026) names The Leaders Group and Pickwick Capital Partners as the broker-dealer its advisers are registered with.
Dax Weindorf Dax Weindorf, an investment adviser representative of Waterloo Capital, is a registered representative of The Leaders Group, Inc., a FINRA-registered broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 924 | $1.7B | 73% |
| Individuals | 1,685 | $384M | 17% |
| Pension and profit sharing plans | 188 | $226M | 10% |
Disciplinary disclosures
Waterloo Capital reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗waterloocap.com ↗
AtlasMembers
The full record on Waterloo Capital
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, ten years of filings
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- Growth over one, three and five years
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- Rank against 97 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Waterloo Capital manage?
Waterloo Capital reports $2.3 billion in regulatory assets under management across 7,306 accounts, 93% of it on a discretionary basis, on its Form ADV filed September 24, 2026.
What kind of firm is Waterloo Capital?
Waterloo Capital 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 Waterloo Capital’s clients?
By assets, its largest client types are high-net-worth individuals ($1.7 billion, 924 clients); individuals ($384 million, 1,685 clients); pension and profit sharing plans ($226 million, 188 clients).
Does Waterloo Capital have any disciplinary history?
Waterloo Capital reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Waterloo Capital’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 (2026-09-24), 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 →