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
Waterfront Wealth Inc.
Latest filing Aug 19, 2026
First filing on the tape Mar 6, 2015 · 40 filings
SEC status approved since Mar 22, 2017
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$1.1B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
14
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$1.1B as of Aug 19, 2026
Mar 29, 2018$266M then
HNW client RAUM$935M as of Aug 19, 2026
Mar 29, 2018$148M then
State-registered IARs (5.B.3)7 as of Aug 19, 2026
Mar 29, 20185 then
Employees (5.A)14 as of Aug 19, 2026
Mar 29, 20187 then
Private funds: no history
RAUM +28% over the last fiscal year+21% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Aug 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $352,978derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $20.8M, 20 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$935M82%
- Individuals$150M13%
- Charitable organizations$37.0M3.3%
- Corporations and businesses$11.0M1.0%
- Pension and profit-sharing plans$5.0M0.4%
- Individual clients
- 527reported
- HNW clients
- 265reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,224reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.8M for 20 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Paul ShieldsCertified Financial Planner | Overland Park, Ks | Apr 2, 2015 | 28 y | 3 |
| Roger Carter Ratzlaff | Overland Park, Ks | Apr 2, 2015 | 39 y | 3 |
| Christopher HarringtonChartered Financial Analyst | Overland Park, Ks | May 19, 2017 | 24 y | 2 |
| Pamela Vasquez | Overland Park, Ks | Jan 7, 2019 | 18 y | 2 |
| Jacob Alan Linch | Overland Park, Ks | Jan 22, 2019 | 13 y | 3 |
| Monte Trent Grissom | Overland Park, Ks | Feb 7, 2019 | 13 y | 0 |
| Matthew Alan Hekman | Overland Park, Ks | May 2, 2022 | 23 y | 0 |
| Patrick Steven Berch | Overland Park, Ks | Oct 17, 2022 | 15 y | 4 |
| Kale Alvin Paul SoukupCertified Financial Planner | Overland Park, Ks | Nov 10, 2023 | 13 y | 0 |
| Benjamin Joel Fischer | Overland Park, Ks | Jul 1, 2024 | 19 y | 0 |
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
- Jonathan Perrin to Intellicents Investment Solutions IncNov 29, 2022 · Other
- Erin Kathleen O'Brien to Ameriprise Financial Services, LLCNov 8, 2022 · RIA to affiliated broker-dealer or bank
- Randall Scott Powell to Iht Wealth Management LLCFeb 25, 2019 · RIA to RIA
- Brett Arthur Banks to Cetera Advisor Networks LLCFeb 8, 2018 · Other
Joined, latest
- Patrick Steven Berch from Elevated Capital Advisors, LLCOct 17, 2022 · RIA to RIA
- Erin Kathleen O'Brien from Wells Fargo AdvisorsJun 14, 2022 · Wirehouse to independent RIA
- Jonathan Perrin from Satya Investment Management, LLCMay 14, 2020 · Other
- Jacob Alan Linch from Wells Fargo AdvisorsJan 22, 2019 · Wirehouse to independent RIA
- Pamela Vasquez from Wells Fargo AdvisorsJan 7, 2019 · Wirehouse to independent RIA
- Christopher Harrington from Wells Fargo AdvisorsMay 19, 2017 · Other
- Randall Scott Powell from Wells Fargo AdvisorsMay 19, 2017 · Other
- Brett Arthur Banks from Wells Fargo AdvisorsApr 18, 2016 · Other
- Roger Carter Ratzlaff from Wells Fargo AdvisorsApr 2, 2015 · Other
- Michael Paul Shields from Wells Fargo AdvisorsApr 2, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from Wells Fargo AdvisorsOct 5, 2020 · Leawood, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Carter Roger Ratzlaff · Ceo/Ccocontrolsince 01/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Overland Park, Ks · principal | 10 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 4,120 to 3,224Jun 18, 2025 to Mar 13, 2026
- HNW clients · 228 to 265Jun 18, 2025 to Mar 13, 2026
- Individual clients · 502 to 527Jun 18, 2025 to Mar 13, 2026
- Assets in custody · $10.7M to $20.8MJun 18, 2025 to Mar 13, 2026
- Employees · 13 to 14Jun 18, 2025 to Mar 13, 2026
- Discretionary RAUM · $890M to $1.1BJun 18, 2025 to Mar 13, 2026
- HNW RAUM · $690M to $935MJun 18, 2025 to Mar 13, 2026
- Individual RAUM · $151M to $150MJun 18, 2025 to Mar 13, 2026
- Pension RAUM · $6.0M to $5.0MJun 18, 2025 to Mar 13, 2026
- RAUM · $890M to $1.1BJun 18, 2025 to Mar 13, 2026
- Financial planning clients · 1-10 to 1-10Mar 14, 2025 to Jun 18, 2025
- Accounts · 2,630 to 4,120Nov 26, 2024 to Mar 14, 2025
- Advisory employees · 8 to 9Nov 26, 2024 to Mar 14, 2025
- HNW clients · 86 to 228Nov 26, 2024 to Mar 14, 2025
- Individual clients · 648 to 502Nov 26, 2024 to Mar 14, 2025
- Assets in custody · $13.1M to $10.7MNov 26, 2024 to Mar 14, 2025
- Discretionary RAUM · $775M to $890MNov 26, 2024 to Mar 14, 2025
- HNW RAUM · $297M to $690MNov 26, 2024 to Mar 14, 2025
- Individual RAUM · $428M to $151MNov 26, 2024 to Mar 14, 2025
- Pension RAUM · $12.0M to $6.0MNov 26, 2024 to Mar 14, 2025
- RAUM · $775M to $890MNov 26, 2024 to Mar 14, 2025
- Accounts · 2,540 to 2,630Feb 7, 2024 to Jun 20, 2024
- HNW clients · 174 to 86Feb 7, 2024 to Jun 20, 2024
- Individual clients · 734 to 648Feb 7, 2024 to Jun 20, 2024
- Discretionary RAUM · $730M to $775MFeb 7, 2024 to Jun 20, 2024
- HNW RAUM · $260M to $297MFeb 7, 2024 to Jun 20, 2024
- Individual RAUM · $423M to $428MFeb 7, 2024 to Jun 20, 2024
- Pension RAUM · $8.0M to $12.0MFeb 7, 2024 to Jun 20, 2024
- RAUM · $730M to $775MFeb 7, 2024 to Jun 20, 2024
- HNW clients · 80 to 174Nov 21, 2023 to Feb 7, 2024
- Individual clients · 614 to 734Nov 21, 2023 to Feb 7, 2024
- Assets in custody · $8.4M to $13.1MNov 21, 2023 to Feb 7, 2024
- Employees · 14 to 13Nov 21, 2023 to Feb 7, 2024
- Discretionary RAUM · $645M to $730MNov 21, 2023 to Feb 7, 2024
- HNW RAUM · $242M to $260MNov 21, 2023 to Feb 7, 2024
- Individual RAUM · $362M to $423MNov 21, 2023 to Feb 7, 2024
- Pension RAUM · $3.0M to $8.0MNov 21, 2023 to Feb 7, 2024
- RAUM · $645M to $730MNov 21, 2023 to Feb 7, 2024
- Other offices · 0 to 1Aug 16, 2023 to Sep 20, 2023
- Advisory activities · 3 to 4Aug 7, 2023 to Aug 16, 2023
Signals
6 dated events
- Waterfront Wealth Inc. reported RAUM $1.1B, up 28% from $890.0M (2025-06-18 to 2026-03-13)Mar 13, 2026 · RAUM change · derived
- Jonathan Perrin left Waterfront Wealth Inc. for Intellicents Investment Solutions Inc (registered 2022-11-28)Nov 29, 2022 · Advisor changed firm · fact
- Erin Kathleen O'Brien left Waterfront Wealth Inc. for Ameriprise Financial Services, Llc (registered 2022-11-09)Nov 8, 2022 · Advisor changed firm · fact
- Waterfront Wealth Inc. reported RAUM $570.0M, up 36% from $420.0M (2020-12-15 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Waterfront Wealth Inc. reported RAUM $266.3M, up 161% from $102.0M (2017-12-26 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- Waterfront Wealth Inc. filed its initial SEC registration (Form ADV)Mar 6, 2015 · First SEC registration · 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
- Business phone
- 913-951-5800reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/waterfront-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- waterfrontam.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 913-951-5800reportedpublic record, Form ADV, Aug 19, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026