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RIA / WealthAdvisor24 years in industry

DAVID MICHAEL SABONGHY

Advisor at WATERLOO CAPITAL

AUSTIN, TX | SUGAR LAND, TX

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Search this name across graphsid dfx:ria:2674dd07-252d-142b-322f-e50a3f6ecb46

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 3, 2002 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: Jul 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 1, 2002
First registration: Sep 3, 2002
Dual registered: no
Other names: DAVID SABONGHY
IAPD individual key: 4521976

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	Nov 1, 2022	n/a	yes	SUGAR LAND, TX\|AUSTIN, TX	Current employment
AVIDIAN WEALTH SOLUTIONS	Independent wealth	Oct 14, 2017	Nov 16, 2022	no	HOUSTON, TX	Previous registration
MORGAN STANLEY	Wirehouse	Feb 24, 2011	Oct 11, 2017	no	Houston, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Sep 3, 2002	Mar 3, 2011	no	HOUSTON, TX\|HOUSTON, TX\|SUGAR LAND, TX\|HOUSTON, 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
AVIDIAN WEALTH SOLUTIONS	WATERLOO CAPITAL	Nov 16, 2022	Nov 1, 2022	-15	Firm change	RIA to RIA
MORGAN STANLEY	AVIDIAN WEALTH SOLUTIONS	Oct 11, 2017	Oct 14, 2017	3	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MORGAN STANLEY	Mar 3, 2011	Feb 24, 2011	-7	Firm change	Ibd to wirehouse

Relationships

Registered with (4)

→ WATERLOO CAPITALRegistered adviserregistration: current employment
Nov 1, 2022 to presentfactForm ADV
→ AVIDIAN WEALTH SOLUTIONSRegistered adviserregistration: previous registration
Oct 14, 2017 to Nov 16, 2022factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Feb 24, 2011 to Oct 11, 2017factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 3, 2002 to Mar 3, 2011factForm ADV

Dated events

Occurred
Nov 16, 2022
Advisor changed firm
David Michael Sabonghy left Avidian Wealth Solutions for Waterloo Capital (registered 2022-11-01)
Form ADVobserved 3 days ago