DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
A••••• P•••••••• M••••••••• I•••
Latest filing Apr 10, 2026
First filing on the tape Feb 7, 2012 · 20 filings
SEC status approved since Dec 6, 2002
RAUM
$240M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$237M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$240M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$240M as of Apr 10, 2026
Feb 7, 2012$91.5M then
HNW client RAUM$219M as of Apr 10, 2026
Mar 27, 2018$126M then
State-registered IARs (5.B.3)0 as of Apr 10, 2026
Feb 7, 20120 then
Employees (5.A)2 as of Apr 10, 2026
Feb 20, 20131 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $240MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $734,585derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.0M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$219M91%
- Individuals$17.9M7.4%
- Pension and profit-sharing plans$3.4M1.4%
- Individual clients
- 83reported
- HNW clients
- 38reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 327reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.0M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• L•••• G••••• | Austin, Tx | Oct 26, 1999 | 40 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- S•••• W•••••• S•••••• to C•••••••• F•••••••• G••••• L••Aug 11, 2010 · Other
Joined, latest
- S•••• W•••••• S•••••• from P••••••• F•••••••• P•••••••••Sep 3, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• J••••• A•• · Operations - Ownercontrolsince 10/1999 · owns less than 5%
- G•••••• S•••••• L•••• · President / Chief Compliance Officercontrolsince 10/1999 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 332 to 327Mar 25, 2025 to Apr 10, 2026
- HNW clients · 35 to 38Mar 25, 2025 to Apr 10, 2026
- Individual clients · 102 to 83Mar 25, 2025 to Apr 10, 2026
- Discretionary RAUM · $209M to $240MMar 25, 2025 to Apr 10, 2026
- HNW RAUM · $177M to $219MMar 25, 2025 to Apr 10, 2026
- Individual RAUM · $30.5M to $17.9MMar 25, 2025 to Apr 10, 2026
- Pension RAUM · $1.7M to $3.4MMar 25, 2025 to Apr 10, 2026
- RAUM · $209M to $240MMar 25, 2025 to Apr 10, 2026
- Accounts · 316 to 332Mar 26, 2024 to Mar 25, 2025
- HNW clients · 38 to 35Mar 26, 2024 to Mar 25, 2025
- Individual clients · 79 to 102Mar 26, 2024 to Mar 25, 2025
- Financial planning clients · 1-10 to 1-10Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $182M to $209MMar 26, 2024 to Mar 25, 2025
- HNW RAUM · $133M to $177MMar 26, 2024 to Mar 25, 2025
- Individual RAUM · $47.7M to $30.5MMar 26, 2024 to Mar 25, 2025
- Pension RAUM · $1.7M to $1.7MMar 26, 2024 to Mar 25, 2025
- RAUM · $182M to $209MMar 26, 2024 to Mar 25, 2025
- Accounts · 317 to 316Feb 1, 2023 to Mar 26, 2024
- HNW clients · 37 to 38Feb 1, 2023 to Mar 26, 2024
- Individual clients · 74 to 79Feb 1, 2023 to Mar 26, 2024
- Pension plan clients · 2 to 3Feb 1, 2023 to Mar 26, 2024
- Assets in custody · $999,044 to $1.0MFeb 1, 2023 to Mar 26, 2024
- Discretionary RAUM · $161M to $182MFeb 1, 2023 to Mar 26, 2024
- HNW RAUM · $118M to $133MFeb 1, 2023 to Mar 26, 2024
- Individual RAUM · $41.7M to $47.7MFeb 1, 2023 to Mar 26, 2024
- RAUM · $161M to $182MFeb 1, 2023 to Mar 26, 2024
- Accounts · 353 to 317Mar 3, 2022 to Feb 1, 2023
- Pension plan clients · 3 to 2Mar 3, 2022 to Feb 1, 2023
- Assets in custody · $1.2M to $999,044Mar 3, 2022 to Feb 1, 2023
- Discretionary RAUM · $179M to $161MMar 3, 2022 to Feb 1, 2023
- HNW RAUM · $130M to $118MMar 3, 2022 to Feb 1, 2023
- Individual RAUM · $47.0M to $41.7MMar 3, 2022 to Feb 1, 2023
- Pension RAUM · $2.2M to $1.7MMar 3, 2022 to Feb 1, 2023
- RAUM · $179M to $161MMar 3, 2022 to Feb 1, 2023
- Accounts · 336 to 353Mar 17, 2021 to Mar 3, 2022
- HNW clients · 35 to 37Mar 17, 2021 to Mar 3, 2022
- Individual clients · 71 to 74Mar 17, 2021 to Mar 3, 2022
- Employees · 3 to 2Mar 17, 2021 to Mar 3, 2022
- Discretionary RAUM · $159M to $179MMar 17, 2021 to Mar 3, 2022
- HNW RAUM · $134M to $130MMar 17, 2021 to Mar 3, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 512-777-5900reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 972-387-0660reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- A•••••P••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 520-296-1035reportedpublic record, Form ADV, Apr 10, 2026
- Contact form
- waterloocap.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $240Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026