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.

Firm class

independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$154MItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$154M

Private client RAUM

$154MderivedItem 5.D individuals plus high net worth individuals

Private client share

100%derivedprivate client RAUM over total RAUM

Advisors on IAPD

4

RAUM per advisor

$38.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

5

Advisory employees

5

Offices

3Schedule D 1.F, beyond the principal office

Accounts

290

Individual clients

252

High net worth clients

37

SEC number

801-128547

CRD

296462

Filings on the tape

22

First filed

Jul 11, 2023

Latest filed

Mar 24, 2026

Organised

Limited Liability Company, NM

• Occurred

  Jul 11, 2023
  First Form ADV filing

  Waterrock Wealth Management filed its initial SEC registration (Form ADV)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:f4cb973f-bfec-6ca9-ff9c-202e4472423c

First observed

Jul 11, 2023

Last observed

Mar 24, 2026 5 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.