Waterford Capital Investment Advisory Services provides portfolio management for individuals and small businesses.
Waterford Capital Investment Advisory Services reports 110 clients. They include 82 individual clients, 27 high-net-worth individuals and 1 banking or thrift institution. Of its assets, 0.0% ($0 across 0 accounts) are managed with discretion; $228M across 331 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 75% | 11% |
| High-net-worth individuals | 25% | 86% |
| Banking or thrift institutions | <1% | 3% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 82 | $24.3M | 10.7% | $297K |
| High-net-worth individuals | 27 | $197M | 86.2% | $7.29M |
| Banking or thrift institutions | Fewer than 5 | $7.21M | 3.2% | $7.21M |
| Total | 110 | $228M | 100% | — |
- Clients
- 82
- Regulatory AUM
- $24.3M
- AUM share
- 10.7%
- Avg. per client
- $297K
- Clients
- 27
- Regulatory AUM
- $197M
- AUM share
- 86.2%
- Avg. per client
- $7.29M
- Clients
- Fewer than 5
- Regulatory AUM
- $7.21M
- AUM share
- 3.2%
- Avg. per client
- $7.21M
Total
- Clients
- 110
- Regulatory AUM
- $228M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
Waterford Capital Investment Advisory Services charges 1.00% for its Standard investment management fee. The brochure does not state whether the rate is annual. The fee is billed in arrears and is negotiable.
Fee details and sources
David Oconnor owns 75% or more of Waterford Capital Investment Advisory Services. The leadership team of Waterford Capital Investment Advisory Services includes President David Oconnor. It has 3 employees, 1 of them in advisory roles.
Staff
- 3 employees
- 1 in advisory functions
- 3 broker-dealer reps
- Owns 75% or more of Waterford Capital Investment Advisory Services LLC
David Oconnor
Control person · since May 2007
Waterford Capital Investment Advisory Services’ regulatory assets grew 1.8× from $126M (May 2021) to $228M (March 2026); clients rose from 90 to 110 and employees from 1 to 3.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $228M | 110 | 3 | 1 |
| Mar 2025March 2025 | $171M | 106 | 3 | 1 |
| Mar 2024March 2024 | $150M | 94 | 3 | 1 |
| Mar 2023March 2023 | $131M | 94 | 3 | 1 |
| Mar 2022March 2022 | $144M | 90 | 3 | 1 |
| May 2021May 2021 | $126M | 90 | 1 | 1 |
Besides its headquarters, Waterford Capital Investment Advisory Services has 0 offices, with 1 listed address in 1 state.
Texas · 1 listed address
- 14275 Midway Road, Suite 138, AddisonHQ
Contact and registration details
- Legal name
- Waterford Capital Investment Advisory Services LLC
- Headquarters
- 14275 Midway Road, Suite 138, Addison, TX 75001
- Website
- waterfordcapital.com
- Phone
- 214-363-6920
- SEC file
- 801-108907
- Founded
- 2007
- Structure
- Texas LLC
- Fiscal year end
- December
Waterford Capital Investment Advisory Services’ named custodian for separately managed accounts is Charles Schwab ($228M). Waterford Capital Investment Advisory Services does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $228M100%
At year end, Waterford Capital Investment Advisory Services’ separately managed accounts were mostly in stocks (75%) and cash (25%).
What the accounts hold
- Stocks75%
- Cash25%
How many clients does Waterford Capital Investment Advisory Services have?
Waterford Capital Investment Advisory Services has 110 clients and manages $228 million for them, as of March 2026. They include 82 individual clients, 27 high-net-worth individuals and 1 banking or thrift institution.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 18 March 2026
What services does Waterford Capital Investment Advisory Services offer?
Waterford Capital Investment Advisory Services provides portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Waterford Capital Investment Advisory Services charge?
Waterford Capital Investment Advisory Services charges 1.00% for its Standard investment management fee. The brochure does not state whether the rate is annual. The fee is billed in arrears and is negotiable.
Source: WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES BROCHURE 3.18.26, filed 18 March 2026
Which custodians does Waterford Capital Investment Advisory Services use?
Waterford Capital Investment Advisory Services’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $228M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 March 2026
How many financial advisors does Waterford Capital Investment Advisory Services have?
Waterford Capital Investment Advisory Services has 0 investment adviser representatives registered with state securities authorities, out of 3 employees, and 1 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 0 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Waterford Capital Investment Advisory Services invest in?
At the end of its last fiscal year, Waterford Capital Investment Advisory Services’ separately managed accounts held 75% exchange-traded equities and 25% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Waterford Capital Investment Advisory Services?
Waterford Capital Investment Advisory Services’ direct owner is David Oconnor (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 18 March 2026
How does Waterford Capital Investment Advisory Services get paid?
Waterford Capital Investment Advisory Services is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Waterford Capital Investment Advisory Services?
Waterford Capital Investment Advisory Services’ main office is at 14275 Midway Road, Suite 138, Addison, TX 75001. Its phone number is 214-363-6920. Its website is waterfordcapital.com.