SourcingSourcing

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC

B53
CRD 144172·SEC 801-108907·ADDISON, TX
AUM
$228.5M
$100M-$500M
Est. Revenue
$2.3M
@ 1% on AUM
Est. EBITDA
$685K
@ 30% margin
Est. Deal Value
$5.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC
CRD
144172
SEC file #
801-108907
EIN
—
DBA names
—

Economics

AUM
$228.5M
AUM band
$100M-$500M
AUM trajectory
'20'26
$115.0M → $228.5M▲ +99%
Client mix
Individuals Other82
Individuals High Net Worth27
Banking Institutions1

Operations

Employees (total)
3
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'20'26
1 advisors → 1 advisors▬ 0%
Primary office
ADDISON TX
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUM

Filings

Latest ADV filing
03/18/2026
ADV-W filed at
—
Website
waterfordcapital.com

Compliance

Disclosures (firm)
1
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
OCONNOR, DAVID, PATRICK
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
OCONNOR, DAVID, PATRICK
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
WATERFORDCAPITAL.COM
Rdap Domain Creation Date
1998-11-09T05:00:00Z
Rdap Firm Age Years
28
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
2
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-11-08T05:00:00Z
Rdap Domain Last Changed
2022-10-05T15:30:11Z
Rdap Nameservers
Ns47.domaincontrol.comNs48.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
2143494
Trust Company Affiliate
No

People (2)

2
OCONNOR, DAVID, PATRICK
IAR · Direct Owner · 87.5%
2143494
DAVID MICHAEL PIOTROWSKI
IAR
2942225