DFX Intelligence

Data Factory

RIA / WealthAdvisor29 years in industry

KEITH RONAN NIELSEN

Advisor at WATERLOO CAPITAL

AUSTIN, TX | WACO, TX

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:e69bf2ef-0f87-0e9a-d592-4e5e519c4f31

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jul 19, 2001 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: Jan 2, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Jan 2, 1997
First registration: Jul 19, 2001
Dual registered: no
Other names: HAP NIELSEN
IAPD individual key: 2814298

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	Sep 22, 2023	n/a	yes	AUSTIN, TX\|WACO, TX	Current employment
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Aug 13, 2021	Sep 18, 2023	no	WACO, TX\|CORPUS CHRISTI, TX\|WACO, TX	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Nov 1, 2017	Aug 16, 2021	no	WACO, TX	Previous registration
GIRARD SECURITIES, INC.	Former SEC adviser	Feb 10, 2010	Nov 1, 2017	no	CORPUS CHRISTI, TX\|WACO, TX	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Aug 13, 2007	Dec 31, 2009	no	HOUSTON, TX\|WACO, TX	Previous registration
REGAL ADVISORY SERVICES, INC.	Independent wealth	Feb 12, 2007	Sep 6, 2007	no	GLENVIEW, IL	Previous registration
SAMCO FINANCIAL SERVICES, INC.	n/a	Jul 19, 2001	Dec 31, 2006	no	WACO, TX\|WACO, TX\|DALLAS, 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
INDEPENDENT FINANCIAL GROUP, LLC	WATERLOO CAPITAL	Sep 18, 2023	Sep 22, 2023	4	Firm change	Ibd to RIA
CETERA ADVISOR NETWORKS LLC	INDEPENDENT FINANCIAL GROUP, LLC	Aug 16, 2021	Aug 13, 2021	-3	Firm change	Ibd to ibd
GIRARD SECURITIES, INC.	CETERA ADVISOR NETWORKS LLC	Nov 1, 2017	Nov 1, 2017	0	Bulk transfer	Other
NEXT FINANCIAL GROUP, INC.	GIRARD SECURITIES, INC.	Dec 31, 2009	Feb 10, 2010	41	Firm change	Other
REGAL ADVISORY SERVICES, INC.	NEXT FINANCIAL GROUP, INC.	Sep 6, 2007	Aug 13, 2007	-24	Firm change	Other
SAMCO FINANCIAL SERVICES, INC.	REGAL ADVISORY SERVICES, INC.	Dec 31, 2006	Feb 12, 2007	43	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
13572:7717:TX:2021-08-12	Aug 16, 2021	Aug 13, 2021	WACO, TX	Firm change

Relationships

Registered with (7)

→ WATERLOO CAPITALRegistered adviserregistration: current employment
Sep 22, 2023 to presentfactForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Aug 13, 2021 to Sep 18, 2023factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Nov 1, 2017 to Aug 16, 2021factForm ADV
→ GIRARD SECURITIES, INC.Registered adviserregistration: previous registration
Feb 10, 2010 to Nov 1, 2017factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Aug 13, 2007 to Dec 31, 2009factForm ADV
→ REGAL ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Feb 12, 2007 to Sep 6, 2007factForm ADV
→ SAMCO FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 19, 2001 to Dec 31, 2006factForm ADV

Dated events

Occurred
Sep 18, 2023
Advisor changed firm
Keith Ronan Nielsen left Independent Financial Group, Llc for Waterloo Capital (registered 2023-09-22)
Form ADVobserved 3 days ago