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RIA / WealthAdvisor23 years in industry

STEVEN HARRIS LIVITZ

Advisor at WATERLOO CAPITAL

AUSTIN, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 25, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WATERLOO CAPITAL
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 18, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Sep 18, 2003
First registration: Apr 25, 2006
Dual registered: no
IAPD individual key: 4316223

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WATERLOO CAPITAL	Independent wealth	Aug 4, 2023	n/a	yes	AUSTIN, TX\|AUSTIN, TX	Current employment
IRONCLAD STRATEGIES LLC	n/a	Oct 2, 2018	Dec 18, 2023	no	AUSTIN, TX	Previous registration
KESTRA ADVISORY SERVICES, LLC	Bd affiliated wealth	Jan 3, 2018	Oct 1, 2018	no	AUSTIN, TX\|AUSTIN, TX	Previous registration
SII INVESTMENTS, INC.	Former SEC adviser	Jan 5, 2012	Jan 3, 2018	no	WEST LAKE HILLS, TX	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Apr 21, 2011	Jan 30, 2012	no	AUSTIN, TX	Previous registration
LIVITZ TRADING GROUP, LLC	n/a	Apr 25, 2006	Dec 31, 2006	no	AUSTIN, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
IRONCLAD STRATEGIES LLC	WATERLOO CAPITAL	Dec 18, 2023	Aug 4, 2023	-136	Firm change after gap	Other
KESTRA ADVISORY SERVICES, LLC	IRONCLAD STRATEGIES LLC	Oct 1, 2018	Oct 2, 2018	1	Firm change	Other
SII INVESTMENTS, INC.	KESTRA ADVISORY SERVICES, LLC	Jan 3, 2018	Jan 3, 2018	0	Firm change	Other
NFP ADVISOR SERVICES, LLC	SII INVESTMENTS, INC.	Jan 30, 2012	Jan 5, 2012	-25	Firm change	Other
LIVITZ TRADING GROUP, LLC	NFP ADVISOR SERVICES, LLC	Dec 31, 2006	Apr 21, 2011	1,572	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
297260:133705:TX:2023-12-18	Dec 18, 2023	Aug 4, 2023	AUSTIN, TX	Firm change after gap
2225:283330:TX:2018-01-03	Jan 3, 2018	Jan 3, 2018	WEST LAKE HILLS, TX	Firm change

Relationships

Registered with (6)

→ WATERLOO CAPITALRegistered adviserregistration: current employment
Aug 4, 2023 to presentfactForm ADV
→ IRONCLAD STRATEGIES LLCRegistered adviserregistration: previous registration
Oct 2, 2018 to Dec 18, 2023factForm ADV
→ KESTRA ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Jan 3, 2018 to Oct 1, 2018factForm ADV
→ SII INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 5, 2012 to Jan 3, 2018factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Apr 21, 2011 to Jan 30, 2012factForm ADV
→ LIVITZ TRADING GROUP, LLCRegistered adviserregistration: previous registration
Apr 25, 2006 to Dec 31, 2006factForm ADV

Dated events

Occurred
Dec 18, 2023
Advisor changed firm
Steven Harris Livitz left Ironclad Strategies Llc for Waterloo Capital (registered 2023-08-04)
Form ADVobserved 4 days ago