Waterford Capital Investment Advisory Services Llc
- Regulatory AUM
- $228M
- Discretionary
- $0
- Clients
- 110
- Avg AUM / client
- $2.1M
- Accounts
- 331
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 18, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 82 | $24.3M | 10.7% |
| High net worth individuals | 27 | $197M | 86.2% |
| Banking or thrift institutions | 1 | $7.2M | 3.16% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Patrick Oconnor | Managing Member, President And Chief Compliance Officer | May 2007 (19y) | 75% or more | |
| David Michael Piotrowski | Registered representative | Aug 2018 (8y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/18/2026 | 1.11 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: FAILURE TO PROPERLY ADMINISTER REGULATORY ELEMENT OF CONTINUING EDUCATION. Status: Final Sanction Detail: ALL CONTINUING EDUCATION REQUIREMENTS WERE MET WITHIN A WEEK OF THE FINDING. Summary: FAILURE OF GENERAL PRINCIPAL TO PROPERLY ADMINISTER AND KEEP CUTTENT THE REGULATORY ELEMENT OF CONTINUING EDUCATION.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $228M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 18, 2026.
View current Form ADV (SEC/IAPD) ↗