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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

WAO ADVISORY, LLC

CRD 320688

LAS VEGAS, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:dfbfbe40-c63c-bfdb-e81f-9175bb01d129

Data as of Feb 3, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 11
On other graphs: 0
Observed: Apr 11, 2022 to Feb 3, 2025
12 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $6,382Item 5.F on the latest filing (2025-02-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6,382
Private client RAUM: $6,382derivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2
Individual clients: 2
SEC number: 801-124990
CRD: 320688
Filings on the tape: 12
First filed: Apr 11, 2022
Latest filed: Feb 3, 2025
Organised: Limited Liability Company, DE
Website: advisory.shrimpy.io

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FETTE, THERESA, ANH	CHIEF EXECUTIVE OFFICER	Na	yes	11/2023	Nov 8, 2023	Dec 9, 2024
IVES, CHARLES, JAMES	CHIEF OPERATING OFFICER	Na	yes	11/2023	Nov 8, 2023	Dec 9, 2024
Nesheiwat, Sharif	CCO & CHIEF LEGAL OFFICER	Na	yes	08/2024	Aug 19, 2024	Dec 9, 2024
WAO FINTECH, LLC	Owner	E	yes	10/2023	Nov 8, 2023	Dec 9, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ROCKET DOLLAR ADVISOR, INC.	n/a	Former SEC adviser	$0	N	yes	n/a
DIGITAL TRUST, LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2024	Feb 3, 2025	$6,382	$6,382	8	3	n/a	n/a
2023	Mar 15, 2024	$6,382	$6,382	8	3	n/a	n/a
2022	Mar 1, 2023	$0	$0	15	3	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$6,382	$6,382	0.0%	n/a	n/a	8	8	0	0

Relationships

Affiliated with (2)

→ ROCKET DOLLAR ADVISOR, INC.Registered adviserother investment adviser, common control
factForm ADV
← ROCKET DOLLAR ADVISOR, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (4)

← FETTE, THERESA, ANHOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Nov 8, 2023 to Dec 9, 2024factForm ADV
← IVES, CHARLES, JAMESOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Nov 8, 2023 to Dec 9, 2024factForm ADV
← Nesheiwat, SharifOwnerCCO & CHIEF LEGAL OFFICER, ownership code NA, individual
Aug 19, 2024 to Dec 9, 2024factForm ADV
← WAO FINTECH, LLCOwnerOWNER, ownership code E, domestic entity
Nov 8, 2023 to Dec 9, 2024factForm ADV

Dated events

Occurred
May 2, 2025
Left the SEC roster
Wao Advisory, Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $6,382)
Form ADVobserved 4 days ago
$6,382
Occurred
Aug 19, 2024
Control person left
Margaret Maryann Bullion Mitchell (Chief Compliance Officer) no longer on Schedule A of Wao Advisory, Llc (listed 2024-04-12, absent 2024-08-19)
Form ADVobserved 4 days ago
Occurred
Aug 19, 2024
Control person joined
Sharif Nesheiwat (Cco & Chief Legal Officer) appeared on Schedule A of Wao Advisory, Llc
Form ADVobserved 4 days ago
Occurred
Apr 12, 2024
Control person left
Andres Camilo Concha (Co-Ceo, Manager) no longer on Schedule A of Wao Advisory, Llc (listed 2024-03-15, absent 2024-04-12)
Form ADVobserved 4 days ago
Occurred
Nov 8, 2023
Control person left
Kyle Michael Mccarty (Ceo) no longer on Schedule A of Wao Advisory, Llc (listed 2023-05-15, absent 2023-11-08)
Form ADVobserved 4 days ago
Occurred
Nov 8, 2023
Control person left
J Victor Bay (Chief Operating Officer & Cco) no longer on Schedule A of Wao Advisory, Llc (listed 2023-05-15, absent 2023-11-08)
Form ADVobserved 4 days ago
Occurred
Nov 8, 2023
Control person joined
Anh Theresa Fette (Co-Ceo, Manager) appeared on Schedule A of Wao Advisory, Llc
Form ADVobserved 4 days ago
Occurred
Nov 8, 2023
Control person joined
Andres Camilo Concha (Co-Ceo, Manager) appeared on Schedule A of Wao Advisory, Llc
Form ADVobserved 4 days ago
Occurred
Nov 8, 2023
Control person joined
James Charles Ives (Chief Operating Officer) appeared on Schedule A of Wao Advisory, Llc
Form ADVobserved 4 days ago
Occurred
Nov 8, 2023
Control person joined
Margaret Maryann Bullion Mitchell (Chief Compliance Officer) appeared on Schedule A of Wao Advisory, Llc
Form ADVobserved 4 days ago
Occurred
Apr 11, 2022
First Form ADV filing
Shrimpy Advisory filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dfbfbe40-c63c-bfdb-e81f-9175bb01d129
First observed: Apr 11, 2022
Last observed: Feb 3, 2025 19 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

WAO ADVISORY, LLC

CRD 320688

LAS VEGAS, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:dfbfbe40-c63c-bfdb-e81f-9175bb01d129

Data as of Feb 3, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:45 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FETTE, THERESA, ANH

CHIEF EXECUTIVE OFFICER

yes

11/2023

Nov 8, 2023

Dec 9, 2024

IVES, CHARLES, JAMES

CHIEF OPERATING OFFICER

yes

11/2023

Nov 8, 2023

Dec 9, 2024

Nesheiwat, Sharif

CCO & CHIEF LEGAL OFFICER

yes

08/2024

Aug 19, 2024

Dec 9, 2024

WAO FINTECH, LLC

Owner

yes

10/2023

Nov 8, 2023

Dec 9, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROCKET DOLLAR ADVISOR, INC.

n/a

Former SEC adviser

yes

n/a

DIGITAL TRUST, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Feb 3, 2025

$6,382

n/a

2023

Mar 15, 2024

$6,382

n/a

2022

Mar 1, 2023

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$6,382

0.0%

n/a