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WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC
CRD 144172File 801-108907
APPROVED
Retail clients
Disclosure events
Filing as of Mar 18, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$228.5M
Below cohort median (national)
Discretionary AUM
$0
Non-discretionary $228.5M
Clients
110
331 accounts
Employees
3
Below cohort median in TX
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Jan 23, 2017
- Principal office
- 14275 MIDWAY ROAD, SUITE 138, ADDISON, TX, 75001
- Phone
- 214-363-6920
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $228.5M
- Discretionary AUM
- $0
- Non-discretionary AUM
- $228.5M
- Discretionary accounts
- 0
- Non-discretionary accounts
- 331
- Total accounts
- 331
- AUM per client
- $2.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 27 | $196.9M |
| Banking or thrift institutions | Fewer than 5 | $7.2M |
| Individuals (other than high net worth individuals) | 82 | $24.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 106 | 110 | increased by4 |
| Apr 1, 2026 | AUM | $171,417,575 | $228,453,367 | increased by$57,035,792 |
| Apr 1, 2026 | Accounts | 327 | 331 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 90 | 106 | increased by16 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $143,700,000 | $171,417,575 | increased by$27,717,575 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 304 | 327 | increased by23 |
| Apr 1, 2022 | Employees | 1 | 3 | increased by2 |
| Apr 1, 2022 | AUM | $126,100,000 | $143,700,000 | increased by$17,600,000 |
| Apr 1, 2022 | Accounts | 90 | 304 | increased by214 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “WATERFORD CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“WATERFORD CAPITAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.