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WATERFRONT WEALTH INC.
CRD 173220File 801-110161
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Aug 19, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.14B
Above cohort median (national)
Discretionary AUM
$1.14B
Clients
792
3,224 accounts
Employees
14
Above cohort median in KS
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- Mar 22, 2017
- Principal office
- 6711 W 121ST STREET, SUITE 200, OVERLAND PARK, KS, 66209
- Phone
- 913-951-5800
- Website
- https://www.waterfrontam.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.14B
- Discretionary AUM
- $1.14B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 3,224
- Non-discretionary accounts
- 0
- Total accounts
- 3,224
- AUM per client
- $1.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $11.0M |
| Charitable organizations | Fewer than 5 | $37.0M |
| High net worth individuals | 265 | $935.0M |
| Pension and profit sharing plans | Fewer than 5 | $5.0M |
| Individuals (other than high net worth individuals) | 527 | $150.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- 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- Q11
- Q11D2
- Q11D4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 13 | 14 | increased by1 |
| Apr 1, 2026 | Clients | 730 | 792 | increased by62 |
| Apr 1, 2026 | AUM | $890,000,000 | $1,138,000,000 | increased by$248,000,000 |
| Apr 1, 2026 | Accounts | 4,120 | 3,224 | decreased by896 |
| May 1, 2025 vs Oct 1, 2022 | Disclosures | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 697 | 730 | increased by33 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $675,000,000 | $890,000,000 | increased by$215,000,000 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,418 | 4,120 | increased by1,702 |
| Aug 1, 2022 | Custody | No | Yes | |
| Apr 1, 2022 | Employees | 11 | 13 | increased by2 |
| Apr 1, 2022 | Clients | 688 | 697 | increased by9 |
| Apr 1, 2022 | AUM | $640,000,000 | $675,000,000 | increased by$35,000,000 |
| Apr 1, 2022 | Accounts | 2,194 | 2,418 | increased by224 |
| Oct 1, 2021 | Employees | 10 | 11 | increased by1 |
| Oct 1, 2021 | Clients | 638 | 688 | increased by50 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “WATERFRONT WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“WATERFRONT WEALTH” 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.