Waterloo Capital
Austin, TX·SEC-registered · CRD #133705
Waterloo Capital is an SEC-registered investment advisory firm in Austin, TX managing $2.3B across 7.7k client accounts, with 44 advisory staff.
Regulatory snapshot
Verify on SEC.govRegulatory AUM
$2.3B
Client accounts
7.7k
Advisory staff
44
Fee model
Fee-based
How Waterloo Capital is paid
Compensation arrangements disclosed on Form ADV. A fee-based firm may earn both client fees and product commissions; ask which applies to you.
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Common questions about Waterloo Capital
How much does Waterloo Capital manage?
Per its most recent SEC Form ADV filing (06/04/2026), Waterloo Capital reports $2.3B in regulatory assets under management across roughly 7.7k client accounts.
How does Waterloo Capital charge?
Waterloo Capital is a fee-based firm. Its disclosed compensation arrangements are: % of assets, Hourly, Commissions, Performance-based. Exact fee schedules appear in the firm's Form ADV Part 2 brochure — confirm current fees directly with the firm.
Is Waterloo Capital a fiduciary?
Yes. Waterloo Capital is registered with the U.S. Securities and Exchange Commission (CRD #133705), and SEC-registered investment advisers owe a fiduciary duty to act in their clients' best interest. You can verify its registration and any disclosures on the SEC's public record.
Is Waterloo Capital taking new clients like me?
Availability and account minimums vary and aren't in the public filing. The fastest way to find out is the free 2-minute match — it checks Waterloo Capital and comparable advisors against your goals and assets, and only surfaces firms open to your situation.
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Profile compiled from Waterloo Capital's public SEC Form ADV filing (CRD #133705, filed 06/04/2026). AdvisoryReviews is an independent comparison and matching service and is not affiliated with, endorsed by, or a partner of Waterloo Capital. Listing does not imply any relationship. Figures are as reported to the SEC and may have changed; verify current details at adviserinfo.sec.gov. Are you with Waterloo Capital? Claim this profile.