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.
SEC-registered adviser
Waterloo Capital
Legal name Waterloo Capital, L.P.
Latest filing Jul 30, 2026
First filing on the tape Feb 16, 2012 · 112 filings
SEC status approved since Mar 11, 2005
RAUM
$2.3B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
90%
$2.0B individuals and HNW
Advisors
53
registered through the firm on IAPD
RAUM per advisor
$42.7M
derived; firm RAUM over IAPD count
Employees
64
44 advisory (5.B.1)
Offices
12
beyond the principal office
Private funds
0
reported on Schedule D
History
112 filings and snapshots on the tape
RAUM$2.3B as of Jul 30, 2026
Mar 30, 2012$102M then
HNW client RAUM$1.7B as of Jul 30, 2026
Mar 30, 2018$11.8M then
State-registered IARs (5.B.3)32 as of Jul 30, 2026
Mar 30, 20120 then
Employees (5.A)64 as of Jul 30, 2026
Mar 28, 20136 then
Private funds: no history
RAUM +34% over the last fiscal year+45% a year over threeIARs 33 to 32offices 7 to 12
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $42.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $309,489derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 10.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 4.1derived13 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- -3.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +34%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $450MreportedItem 5.I
- Custody
- $638M, 3,636 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B73%
- Individuals$384M17%
- Pension and profit-sharing plans$226M10.0%
- Individual clients
- 1,685reported
- HNW clients
- 924reported
- Pension plan clients
- 188reported
- Charitable clients
- 0reported
- Accounts
- 7,306reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $225M sponsored, $225M managedreported
- Custody of client assets
- $638M for 3,636 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
52 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Earline Fay Chapa | Austin, Tx | Dec 15, 2009 | 27 y | 0 |
| John Thomas Chatmas | Austin, Tx | Feb 11, 2011 | 34 y | 2 |
| Donald Ralph Simoneaux | Austin, Tx | Mar 4, 2016 | 13 y | 0 |
| Bennett Hampton WoodwardChartered Financial Analyst | Austin, Tx | Dec 16, 2016 | 22 y | 2 |
| Lisa Ann Allen | Austin, Tx | Jan 8, 2018 | 42 y | 3 |
| Betty Jean AriasCertified Financial Planner | Austin, Tx | Apr 17, 2018 | 38 y | 2 |
| Lori Gann Morris | Austin, Tx | Apr 17, 2018 | 31 y | 3 |
| Frances Frazer Moore | Austin, Tx | Apr 17, 2018 | 41 y | 2 |
| Elizabeth Evette Mock-Hernandez | Austin, Tx | Jun 8, 2020 | 21 y | 3 |
| Robert John Russell | Austin, Tx | Aug 3, 2021 | 15 y | 2 |
| Adam Giovanni D'Acierno | Austin, Tx | Aug 3, 2021 | 12 y | 2 |
| Christopher John Hernandez | Austin, Tx | Aug 3, 2021 | 17 y | 3 |
| Sara Leigh SeelyChartered Financial Analyst | Austin, Tx | Oct 3, 2022 | 24 y | 5 |
| David Michael Sabonghy | Austin, Tx | Nov 1, 2022 | 24 y | 3 |
| Randy Keith FlowersChartered Financial Analyst | Austin, Tx | Nov 14, 2022 | 11 y | 0 |
| Megan Diane Gegen | Austin, Tx | Dec 19, 2022 | 13 y | 0 |
| Andrew R Johnsen | Austin, Tx | Feb 2, 2023 | 12 y | 2 |
| Robert Patrick Blessing | Austin, Tx | Apr 25, 2023 | 12 y | 1 |
| Montgomery Phair Fortenbaugh | Austin, Tx | Jul 24, 2023 | 10 y | 0 |
| Steven Harris Livitz | Austin, Tx | Aug 4, 2023 | 23 y | 5 |
| Mark J Mcadams | Austin, Tx | Aug 4, 2023 | 24 y | 3 |
| Keith Ronan Nielsen | Austin, Tx | Sep 22, 2023 | 29 y | 6 |
| Grant SmithCertified Financial Planner | Rogers, Ar | Nov 10, 2023 | 11 y | 1 |
| Steven Christian Schultheis | Austin, Tx | Nov 10, 2023 | 37 y | 1 |
| Grayson Harris Griffin | Austin, Tx | Nov 10, 2023 | 11 y | 1 |
| Joshua Thomas Teeters | Austin, Tx | Apr 17, 2024 | 19 y | 1 |
| Logan Pearce MoultonChartered Financial Analyst | Sandy Springs, Ga | Apr 28, 2024 | 13 y | 0 |
| Grace Frazer Hill | Austin, Tx | Apr 29, 2024 | 12 y | 0 |
| George Stanley Abiassi | Austin, Tx | Aug 15, 2024 | 14 y | 0 |
| Benjamin Ashby Fuller | Rogers, Ar | Jan 1, 2025 | 23 y | 3 |
| Michael Scott Yawn | Austin, Tx | Jan 1, 2025 | 11 y | 2 |
| Kasey David Cooper | Rogers, Ar | Jan 1, 2025 | 15 y | 2 |
| Dax Werner Weindorf | Austin, Tx | Jan 1, 2025 | 18 y | 2 |
| Eric Ronald Wylie | College Station, Tx | Jan 2, 2025 | 30 y | 1 |
| Jarrod Shane Hix | College Station, Tx | Jan 6, 2025 | 23 y | 3 |
| Stuart W Huckin | Austin, Tx | Mar 3, 2025 | 16 y | 4 |
| Henry Guest Looney | Austin, Tx | Jun 18, 2025 | 11 y | 0 |
| Raymond Earl GoshertCertified Financial Planner | Bentonville, Ar | Sep 16, 2025 | 11 y | 0 |
| Sajal Emily Mutter | Austin, Tx | Nov 15, 2025 | 11 y | 0 |
| Crystal Dawn Reed | Austin, Tx | Jan 4, 2026 | 13 y | 0 |
Advisor movement
2 left, 7 joined in 12 months
net +5 in 12 months0 left in 90 days3 joined in 90 daysdeparture rate 3.8% of current headcount3 left over 36 months
Left, latest
- Olivia Marie Mary to Integrated Wealth Concepts LLCJan 2, 2026 · RIA to RIA
- Matthew Swartz to Intelligent Wealth Solutions LLCSep 30, 2025 · RIA to RIA
- Dustin Allan Eldridge to Mai Capital Management, LLCJan 24, 2025 · RIA to RIA
- Tanner Dale Banister to Kestra Advisory Services, LLCMay 17, 2022 · RIA to affiliated broker-dealer or bank
- Timothy Cordell Sittler to Planning Works Advisory, Inc.Apr 26, 2022 · RIA to a newly registered adviser
- Mikiel Ray Featherston to Planning Works Advisory, Inc.Apr 26, 2022 · RIA to a newly registered adviser
- Richard Omer Maurice to Ironridge Wealth Management, LLCJan 27, 2020 · RIA to RIA
- Timothy Sean Benbow to Bull'S Eye Wealth Management, LLCSep 13, 2019 · Other
- Leah Anne Coleman to Orchard FinancialFeb 8, 2019 · RIA to a state-registered adviser
- William Farup Hoffman to Ehlert Financial Group, Inc.Nov 12, 2008 · Other
- Daniel Kang to Advice And Planning ServicesFeb 15, 2008 · Other
Joined, latest
- David Parker Hughes from Resurgent AdvisorsSep 3, 2026 · RIA to RIA
- Stuart Sommerville Canzeri from Resurgent AdvisorsAug 31, 2026 · RIA to RIA
- Grayson Elizabeth Miller from Oxford Financial Group, LtdJul 27, 2026 · RIA to RIA
- Isabella Kathryn Richard from Florida Financial Advisors, LLCApr 17, 2026 · Affiliated broker-dealer or bank to independent RIA
- Jay Gregory Gehrke from Avellie Wealth Management LLCApr 2, 2026 · Other
- Richard Lance Belline from Equitable Advisors, LLCMar 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- Chad Austin Kennedy from Equitable Advisors, LLCJan 5, 2026 · Affiliated broker-dealer or bank to independent RIA
- Stuart W Huckin from Truist Advisory Services, Inc.Mar 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Jarrod Shane Hix from Element Retirement & Investment Consultants, L.L.C.Jan 6, 2025 · Other
- Eric Ronald Wylie from Element Retirement & Investment Consultants, L.L.C.Jan 2, 2025 · Other
- Benjamin Ashby Fuller from Equitable Advisors, LLCJan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Dax Werner Weindorf from Equitable Advisors, LLCJan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Michael Scott Yawn from Equitable Advisors, LLCJan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Kasey David Cooper from Equitable Advisors, LLCJan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Joshua Thomas Teeters from Crowdstreet Advisors, LLCApr 17, 2024 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Planning Works Advisory, Inc.Apr 26, 2022 · Austin, Tx
- 2 joined from Resurgent AdvisorsAug 25, 2026 · Atlanta, Ga
- 2 joined from Element Retirement & Investment Consultants, L.L.C.Apr 3, 2025 · College Station, Tx
- 2 joined from Ironclad Strategies LLCDec 18, 2023 · Austin, Tx
- 7 joined from Equitable Advisors, LLCNov 17, 2023 · Rogers, Ar
- 2 joined from Osaic Wealth, Inc.Aug 3, 2021 · Austin, Tx
- 4 joined from Raymond James & Associates, Inc.Apr 19, 2018 · Austin, Tx
- 3 joined from Black Diamond Investment Partners, LLCDec 31, 2016 · Atlanta, Ga · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas John Chatmas · Ceocontrolsince 06/2012 · owns less than 5%
- Joseph Adam Rose · Coo And Compliancecontrolsince 04/2024 · owns less than 5%
- Ralph Donald Simoneaux · Presidentcontrolsince 06/2023 · owns less than 5%
- Thomas John Chatmas · Sole Membercontrolsince 12/2012 · owns 75% or more of Waterloo Capital Management LLC
- Joseph Gery Sadzewicz · Chief Compliance Officersince 01/2012 · owns less than 5%
Entity owners
- Waterloo Capital Management LLC · General Partnerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- Intelligent Wealth Solutions LLCinvestment adviseryRAUM $961M
Advisers that list Waterloo Capital as a related person
- 300403 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 53 | 15 | 3 | ||
| Rogers, Ar | 10 | 3 | 0 | ||
| Atlanta, Ga | 3 | 3 | 0 | ||
| Dallas, Tx | 3 | 1 | 0 | ||
| College Station, Tx | 2 | 0 | 0 | ||
| Waco, Tx | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rogers, AR13 employees
- Austin, TX2 employees
- Atlanta, GA2 employees
- Waco, TX1 employees
- Dallas, TX1 employees
- Houston, TX1 employees
- Dallas, TX
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- office count surgeChange between filings · filing Mar 24, 2026offices other than the principal office (Item 1.F.5) moved from 7.0 to 11.0 (+57.0%) between the annual amendments of 2025-03-21 and 2026-03-24; the peer median change was 0.0% (379 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $1B to $5B (379) · 95% percentile
What changed
consecutive filings, newest first
- Other offices · 11 to 12Mar 24, 2026 to Jun 4, 2026
- Accounts · 6,775 to 7,306Feb 2, 2026 to Mar 24, 2026
- Advisory employees · 37 to 44Feb 2, 2026 to Mar 24, 2026
- HNW clients · 690 to 924Feb 2, 2026 to Mar 24, 2026
- Individual clients · 1,258 to 1,685Feb 2, 2026 to Mar 24, 2026
- Pension plan clients · 140 to 188Feb 2, 2026 to Mar 24, 2026
- Assets in custody · $610M to $638MFeb 2, 2026 to Mar 24, 2026
- Employees · 54 to 64Feb 2, 2026 to Mar 24, 2026
- State-registered IARs · 33 to 32Feb 2, 2026 to Mar 24, 2026
- Other offices · 9 to 11Feb 2, 2026 to Mar 24, 2026
- Discretionary RAUM · $1.5B to $2.1BFeb 2, 2026 to Mar 24, 2026
- HNW RAUM · $1.2B to $1.7BFeb 2, 2026 to Mar 24, 2026
- Individual RAUM · $287M to $384MFeb 2, 2026 to Mar 24, 2026
- Non-discretionary RAUM · $165M to $158MFeb 2, 2026 to Mar 24, 2026
- Pension RAUM · $169M to $226MFeb 2, 2026 to Mar 24, 2026
- RAUM · $1.7B to $2.3BFeb 2, 2026 to Mar 24, 2026
- Wrap assets (manager) · $242M to $225MFeb 2, 2026 to Mar 24, 2026
- Wrap assets (sponsor) · $242M to $225MFeb 2, 2026 to Mar 24, 2026
- Other offices · 7 to 9Aug 20, 2025 to Nov 11, 2025
- Financial planning clients · 251-500 to 251-500Mar 21, 2025 to Jul 29, 2025
- Accounts · 4,480 to 6,775Jan 2, 2025 to Mar 21, 2025
- Advisory employees · 29 to 37Jan 2, 2025 to Mar 21, 2025
- BD registered reps · 8 to 2Jan 2, 2025 to Mar 21, 2025
- HNW clients · 546 to 690Jan 2, 2025 to Mar 21, 2025
- Individual clients · 994 to 1,258Jan 2, 2025 to Mar 21, 2025
- Pension plan clients · 110 to 140Jan 2, 2025 to Mar 21, 2025
- Employees · 42 to 54Jan 2, 2025 to Mar 21, 2025
- State-registered IARs · 29 to 33Jan 2, 2025 to Mar 21, 2025
- Discretionary RAUM · $1.2B to $1.5BJan 2, 2025 to Mar 21, 2025
- HNW RAUM · $951M to $1.2BJan 2, 2025 to Mar 21, 2025
- Individual RAUM · $221M to $287MJan 2, 2025 to Mar 21, 2025
- Non-discretionary RAUM · $103M to $165MJan 2, 2025 to Mar 21, 2025
- Pension RAUM · $130M to $169MJan 2, 2025 to Mar 21, 2025
- RAUM · $1.3B to $1.7BJan 2, 2025 to Mar 21, 2025
- Wrap assets (manager) · $248M to $242MJan 2, 2025 to Mar 21, 2025
- Wrap assets (sponsor) · $248M to $242MJan 2, 2025 to Mar 21, 2025
- Accounts · 3,302 to 4,480Jan 4, 2024 to Feb 13, 2024
- Advisory employees · 16 to 29Jan 4, 2024 to Feb 13, 2024
- BD registered reps · 2 to 8Jan 4, 2024 to Feb 13, 2024
- HNW clients · 209 to 546Jan 4, 2024 to Feb 13, 2024
Signals
22 dated events
- 2 advisors left Resurgent Advisors (Atlanta, GA) for Waterloo Capital on the same dayAug 25, 2026 · Team lift-out · derived
- Waterloo Capital reported RAUM $2.3B, up 34% from $1.7B (2026-02-02 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- Charles Patrick Murphy no longer registered at Waterloo Capital; no later IA registration on IAPDJan 7, 2026 · Advisor departure · fact
- Olivia Marie Mary left Waterloo Capital for Integrated Wealth Concepts Llc (registered 2026-06-05)Jan 2, 2026 · Advisor changed firm · fact
- Matthew Swartz left Waterloo Capital for Intelligent Wealth Solutions Llc (registered 2024-05-14)Sep 30, 2025 · Advisor changed firm · fact
- 2 advisors left Element Retirement & Investment Consultants, L.L.C. (College Station, TX) for Waterloo Capital on the same dayApr 3, 2025 · Team lift-out · derived
- Waterloo Capital reported RAUM $1.7B, up 29% from $1.3B (2025-01-02 to 2025-03-21)Mar 21, 2025 · RAUM change · derived
- Dustin Allan Eldridge left Waterloo Capital for Mai Capital Management, Llc (registered 2025-02-06)Jan 24, 2025 · Advisor changed firm · fact
- Joseph Adam Rose (Coo) appeared on Schedule A of Waterloo CapitalApr 10, 2024 · Control person joined · fact
- Waterloo Capital reported RAUM $1.3B, up 75% from $745.5M (2024-01-04 to 2024-02-13)Feb 13, 2024 · RAUM change · derived
- Waterloo Capital reported 29 state-registered advisory representatives, up from 0 (2024-01-04 to 2024-02-13)Feb 13, 2024 · Advisor headcount change · derived
- 2 advisors left Ironclad Strategies LLC (Austin, TX) for Waterloo Capital on the same dayDec 18, 2023 · Team lift-out · derived
- 7 advisors left Equitable Advisors, LLC (Rogers, AR) for Waterloo Capital within 13 daysNov 17, 2023 · Team lift-out · derived
- Ralph Donald Simoneaux (President) appeared on Schedule A of Waterloo CapitalJun 9, 2023 · Control person joined · fact
- Tanner Dale Banister left Waterloo Capital for Kestra Advisory Services, Llc (registered 2022-06-03)May 17, 2022 · Advisor changed firm · fact
- Timothy Cordell Sittler left Waterloo Capital for Planning Works Advisory, Inc. (registered 2022-03-31)Apr 26, 2022 · Advisor changed firm · fact
- 2 advisors left Waterloo Capital (Austin, TX) for Planning Works Advisory, Inc. on the same dayApr 26, 2022 · Team lift-out · derived
- Mikiel Ray Featherston left Waterloo Capital for Planning Works Advisory, Inc. (registered 2022-04-01)Apr 26, 2022 · Advisor changed firm · fact
- Waterloo Capital reported 0 state-registered advisory representatives, down from 19 (2019-12-18 to 2020-03-23)Mar 23, 2020 · Advisor headcount change · derived
- Waterloo Capital reported RAUM $720.9M, up 156% from $281.2M (2019-02-28 to 2019-03-21)Mar 21, 2019 · RAUM change · derived
- Waterloo Capital reported 19 state-registered advisory representatives, up from 6 (2019-02-28 to 2019-03-21)Mar 21, 2019 · Advisor headcount change · derived
- Virtus Private Wealth Management reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 17, 2013 · Succession (Item 4) · fact
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
- Firm profile
- linkedin.com/company/Johnchatmas-42420132reportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- Linkedin.com/company/Ihfinancialreportedpublic record, Form ADV, Sep 17, 2026
- Website
- X.Stratcapreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 512-777-5900reportedpublic record, Form ADV, Jul 30, 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
- $42.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026