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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

WATERFRONT WEALTH INC.

CRD 173220

OVERLAND PARK, KS

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:e34d87ba-5a3c-f0ef-90b3-abc2f4426185

Data as of Aug 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 6
On other graphs: 0
Observed: Mar 6, 2015 to Aug 19, 2026
40 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: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.1BItem 5.F on the latest filing (2026-08-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $1.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $114Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 14
Advisory employees: 9
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 3,224
Individual clients: 527
High net worth clients: 265
Custody, client assets: $20.8M
SEC number: 801-110161
CRD: 173220
Filings on the tape: 40
First filed: Mar 6, 2015
Latest filed: Aug 19, 2026
Organised: Corporation, KS

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ROGER CARTER RATZLAFF	n/a	OVERLAND PARK, KS	11	39	3	no
MICHAEL PAUL SHIELDS	Certified Financial Planner	OVERLAND PARK, KS \| Ocala, FL	11	28	3	no
CHRISTOPHER HARRINGTON	Chartered Financial Analyst	OVERLAND PARK, KS	9	24	2	no
PAMELA VASQUEZ	n/a	OVERLAND PARK, KS	7	18	2	no
JACOB ALAN LINCH	n/a	OVERLAND PARK, KS	7	13	3	no
MONTE TRENT GRISSOM	n/a	OVERLAND PARK, KS	7	13	n/a	no
MATTHEW ALAN HEKMAN	n/a	OVERLAND PARK, KS	4	23	n/a	no
PATRICK STEVEN BERCH	n/a	OVERLAND PARK, KS	3	15	4	no
Kale Alvin Paul Soukup	Certified Financial Planner	OVERLAND PARK, KS	2	13	n/a	no
Benjamin Joel Fischer	n/a	OVERLAND PARK, KS	2	19	n/a	no

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
RATZLAFF, ROGER, CARTER	CEO/CCO	E	yes	01/2012	Mar 6, 2015	Nov 26, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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	Offices	Private funds	Fund GAV
2025	Mar 13, 2026	$1.1B	$1.1B	14	9	1	n/a	n/a
2024	Mar 14, 2025	$890M	$890M	13	9	1	n/a	n/a
2023	Feb 7, 2024	$730M	$730M	13	8	1	n/a	n/a
2022	Mar 9, 2023	$645M	$645M	14	8	0	n/a	n/a
2021	Mar 31, 2022	$675M	$675M	13	8	0	n/a	n/a
2020	Mar 31, 2021	$570M	$570M	10	5	0	n/a	n/a
2019	Mar 30, 2020	$420M	$420M	11	5	0	n/a	n/a
2018	Mar 29, 2019	$334M	$334M	11	5	0	n/a	n/a
2017	Mar 29, 2018	$266M	$266M	7	6	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2025	$1.1B	$890M	27.9%	$645M	20.8%	14	13	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WELLS FARGO ADVISORS	6	Oct 5, 2020	Jun 14, 2022	LEAWOOD, KS	Team lift out	Wirehouse to RIA	0.4%

Relationships

Registered with (14)

← Benjamin Joel FischerAdvisorregistration: current employment
Jul 1, 2024 to presentfactForm ADV
← Kale Alvin Paul SoukupAdvisorregistration: current employment
Nov 10, 2023 to presentfactForm ADV
← PATRICK STEVEN BERCHAdvisorregistration: current employment
Oct 17, 2022 to presentfactForm ADV
← MATTHEW ALAN HEKMANAdvisorregistration: current employment
May 2, 2022 to presentfactForm ADV
← MONTE TRENT GRISSOMAdvisorregistration: current employment
Feb 7, 2019 to presentfactForm ADV
← JACOB ALAN LINCHAdvisorregistration: current employment
Jan 22, 2019 to presentfactForm ADV
← PAMELA VASQUEZAdvisorregistration: current employment
Jan 7, 2019 to presentfactForm ADV
← CHRISTOPHER HARRINGTONAdvisorregistration: current employment
May 19, 2017 to presentfactForm ADV
← ROGER CARTER RATZLAFFAdvisorregistration: current employment
Apr 2, 2015 to presentfactForm ADV
← MICHAEL PAUL SHIELDSAdvisorregistration: current employment
Apr 2, 2015 to presentfactForm ADV
← JONATHAN PERRINAdvisorregistration: previous registration
May 14, 2020 to Nov 29, 2022factForm ADV
← ERIN KATHLEEN O'BRIENAdvisorregistration: previous registration
Jun 14, 2022 to Nov 8, 2022factForm ADV
← RANDALL SCOTT POWELLAdvisorregistration: previous registration
May 19, 2017 to Feb 25, 2019factForm ADV
← BRETT ARTHUR BANKSAdvisorregistration: previous registration
Apr 18, 2016 to Feb 8, 2018factForm ADV

Controls (1)

← RATZLAFF, ROGER, CARTEROwnerCEO/CCO, ownership code E, individual
Mar 6, 2015 to Nov 26, 2024factForm ADV

Moved with (1)

← WELLS FARGO ADVISORSRegistered adviser6 advisors, team lift out, same day
Oct 5, 2020 to Jun 14, 2022factForm ADV

Dated events

Occurred
Mar 13, 2026
Regulatory AUM changed
Waterfront Wealth Inc. reported RAUM $1.1B, up 28% from $890.0M (2025-06-18 to 2026-03-13)
Form ADVobserved 6 days ago
$248M
Occurred
Nov 29, 2022
Advisor changed firm
Jonathan Perrin left Waterfront Wealth Inc. for Intellicents Investment Solutions Inc (registered 2022-11-28)
Form ADVobserved 6 days ago
Occurred
Nov 8, 2022
Advisor changed firm
Erin Kathleen O'Brien left Waterfront Wealth Inc. for Ameriprise Financial Services, Llc (registered 2022-11-09)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Waterfront Wealth Inc. reported RAUM $570.0M, up 36% from $420.0M (2020-12-15 to 2021-03-31)
Form ADVobserved 6 days ago
$150M
Occurred
Mar 29, 2018
Regulatory AUM changed
Waterfront Wealth Inc. reported RAUM $266.3M, up 161% from $102.0M (2017-12-26 to 2018-03-29)
Form ADVobserved 6 days ago
$164M
Occurred
Mar 6, 2015
First Form ADV filing
Waterfront Wealth Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e34d87ba-5a3c-f0ef-90b3-abc2f4426185
First observed: Mar 6, 2015
Last observed: Aug 19, 2026 33 days 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.

WATERFRONT WEALTH INC.

CRD 173220

OVERLAND PARK, KS

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:e34d87ba-5a3c-f0ef-90b3-abc2f4426185

Data as of Aug 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:59 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROGER CARTER RATZLAFF

n/a

OVERLAND PARK, KS

MICHAEL PAUL SHIELDS

Certified Financial Planner

OVERLAND PARK, KS | Ocala, FL

CHRISTOPHER HARRINGTON

Chartered Financial Analyst

OVERLAND PARK, KS

PAMELA VASQUEZ

n/a

OVERLAND PARK, KS

JACOB ALAN LINCH

n/a

OVERLAND PARK, KS

MONTE TRENT GRISSOM

n/a

OVERLAND PARK, KS

n/a

MATTHEW ALAN HEKMAN

n/a

OVERLAND PARK, KS

n/a

PATRICK STEVEN BERCH

n/a

OVERLAND PARK, KS

Kale Alvin Paul Soukup

Certified Financial Planner

OVERLAND PARK, KS

n/a

Benjamin Joel Fischer

n/a

OVERLAND PARK, KS

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RATZLAFF, ROGER, CARTER

CEO/CCO

yes

01/2012

Mar 6, 2015

Nov 26, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 13, 2026

$1.1B

n/a

2024

Mar 14, 2025

$890M

n/a

2023

Feb 7, 2024

$730M

n/a

2022

Mar 9, 2023

$645M

n/a

2021

Mar 31, 2022

$675M

n/a

2020

Mar 31, 2021

$570M

n/a

2019

Mar 30, 2020

$420M

n/a

2018

Mar 29, 2019

$334M

n/a

2017

Mar 29, 2018

$266M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.1B

$890M

27.9%

$645M

20.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WELLS FARGO ADVISORS

Oct 5, 2020

Jun 14, 2022

LEAWOOD, KS

Team lift out

Wirehouse to RIA

0.4%