Waterford Capital Investment Advisory Services LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$221,244,030
Clients
109
Advisors
2
of 3 employees
About
Waterford Capital Investment Advisory Services LLC provides boutique investment management to high‑net‑worth individuals, families, trusts, family limited partnerships and private pooled investment vehicles, managing roughly $228 million across about 109 client relationships. The firm offers tailored portfolio management and conducts due diligence and ongoing monitoring of alternative investments, and it generally imposes a multi‑million dollar account minimum subject to discretionary acceptance.
The firm’s investment approach is grounded in Modern Portfolio Theory and an asset‑allocation framework that combines strategic and tactical allocation and makes substantive use of exchange‑traded funds as core holdings. According to the brochure, Waterford manages client assets on a non‑discretionary basis and makes buy/sell recommendations that require client consent before implementation.
Waterford is distinctive for its affiliation with an in‑house broker‑dealer and for a principal’s registered‑representative role with that broker‑dealer, which also holds a profit‑sharing interest in a private real‑estate fund the firm may recommend; the brochure discloses this potential conflict and describes mitigations such as disclosure to clients, offsets of advisory fees by commissions paid through the broker‑dealer, and compliance oversight. The firm also highlights its ability to evaluate, hire and fire managers for private funds it monitors and the occasional use of an alternate custodian, practices that may differ from many peers.
Client services
Expertise
Fee options
1.00% annually
Account minimum: $5 million Fee-only: Fee-only investment adviser; no commissions received from clients
Main office
14275 Midway Road, Suite 138
Addison TX 75001
Advisors at this office
2
Most active in
Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
David P
Series 63, Series 66
Addison, TX
Waterford Capital Investment Advisory Services LLC
David Piotrowski is a financial advisor with Waterford Capital Investment Advisory Services LLC, holding Series 63 and Series 66 designations and bringing 27 years of industry experience. He has been with Waterford Capital since 2010 and is also the managing member of Double Eagle Advisors, LLC, a consulting business. Waterford Capital Investment Advisory Services LLC specializes in boutique investment management for high-net-worth individuals, families, trusts, family limited partnerships, and private pooled investment vehicles. The firm employs a Modern Portfolio Theory-based, asset-allocation approach using exchange-traded funds and manages client assets on a non-discretionary basis with tailored portfolio management and ongoing due diligence of alternative investments.
David O
Series 63, Series 66
Addison, TX
Waterford Capital Investment Advisory Services LLC
David Oconnor is the sole advisor at Waterford Capital Investment Advisory Services LLC in Addison, TX, holding Series 63 and Series 66 licenses with 34 years of industry experience. He has been with Waterford Capital entities since 1997 and serves as president of the advisory firm since 2007. Outside of advising, he owns Dipshit Radio, LLC, a business focused on communicating about sports events. Waterford Capital Investment Advisory Services LLC is an SEC-registered boutique investment adviser serving high-net-worth individuals, families, trusts, and private pooled investment vehicles. The firm employs a Modern Portfolio Theory-based approach with strategic and tactical asset allocation, focusing primarily on non-discretionary management and using a mix of exchange-traded funds, mutual funds, and private investments.
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