Waterloo Capital

RIASEC Registered

Total AUM

$2.3B

Discretionary

$2.1B

93% of AUM

Avg account

$309K

Accounts

7,306

Employees

Advisory reps

Firm details

Headquarters: Austin, Texas
CRD number: 133705
Registered since: March 11, 2005
Website: waterloocap.com
Custodians: CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Commissions
Client types: HNWI73%
Individuals17%
Pension & Profit Sharing Plans10%
Services: Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Waterloo Capital is an independent registered investment adviser organized as a partnership that registered with the SEC in 2005. The firm serves both individual/family and institutional clients and describes itself as a capital allocator that also selects outside managers. Its business model mixes advisory and brokerage: advisory services include financial planning, portfolio management for individuals and small businesses, pension consulting and selection of other advisers, while it also operates broker-dealer and insurance-broker lines. Fees can be charged as a percentage of AUM, hourly or fixed fees, and in some cases via commissions. Waterloo Capital does not identify as an active ESG investor.