Waters, Parkerson & Co., Llc
- Regulatory AUM
- $2.9B
- Discretionary
- $2.7B
- Clients
- 794
- Avg AUM / client
- $3.6M
- Accounts
- 1,916
- Employees
- 12
AUM over time
Annual snapshots from Form ADV filings · as of May 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 270 | $141M | 4.94% |
| High net worth individuals | 471 | $2.3B | 79.0% |
| Banking or thrift institutions | Fewer than 5 clients | $115M | 4.02% |
| Pension and profit sharing plans | Fewer than 5 clients | $9.7M | 0.34% |
| Charitable organizations | 25 | $186M | 6.5% |
| Corporations and other businesses | 28 | $148M | 5.17% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Stone Pigman Walther Wittmann L.L.C. 401(k) And Profit Sharing Plan Stone Pigman Walther Wittmann L.L.C | 2024 |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Taylor Pointer | Partner | May 1991 (35y) | 25% – 50% | |
| Michael Burton Whealdon | Partner | May 1991 (35y) | 10% – 25% | |
| Jonathan Baldwin Montgomery | Co Managing Partner | CFA | Dec 2003 (23y) | 10% – 25% |
| Devin John Wakeman | Co Managing Partner | Oct 2007 (19y) | 10% – 25% | |
| Burlingame, Julia, Waters | Chief Compliance Officer | Jan 2009 (18y) | Less than 5% | |
| Lee Reiss Eagan | Partner | CFP | Oct 2013 (13y) | 10% – 25% |
| Todd Bennett Johnson | Registered representative | Dec 2021 (5y) |
Undisclosed: 0% – 35% 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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Stone Pigman Walther Wittmann L.L.C. 401(k) And Profit Sharing Plan | Stone Pigman Walther Wittmann L.L.C | 98 | $91.0M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/26/2026 | 921 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $2.7B (94% of AUM) May 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: May 26, 2026.
View current Form ADV (SEC/IAPD) ↗