SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Waterloo Capital
Austin, TX
Waterloo Capital, L.P., CRD 133705
Firm filing updated September 24, 2026 ·
- $2.3BAssets
- 2,797Clients
- 44Advisory staff
- 7,306Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- CommissionsYes
- Subscription fees (for a newsletter or periodical)No
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals1,685
- High net worth individuals924
- Pension and profit sharing plans188
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 1,685 | $384.4 million |
| High net worth individuals | 924 | $1.7 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 188 | $226.1 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
See all 4 services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$2.3 billion
- Accounts7,306
- Discretionary$2.1 billion · 6,880 accounts
- Non-discretionary$157.7 million · 426 accounts
People
- Employees64
- Advisory staff44
- Broker-dealer reps2
- Licensed insurance agents17
- Planning clients251 to 500
Advisors
41 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Waterloo Capital, L.P. SEC-registered investment advisor. CRD 133705, SEC file 801-63975.
- Registered with the SEC as an investment advisor (status date on record: March 11, 2005).
Is Waterloo Capital a fiduciary?
Short answer: Waterloo Capital is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 2 staff are broker-dealer representatives and the firm is itself a broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
17 staff are licensed insurance agents and the firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.