Waterloo Capital, L.P.
SEC-registered
Insurance-Affiliated · Mid-sized ($1B–$10B)
CRD 133705
· SEC file 801-63975
· Austin, TX
· www.facebook.com
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ADV data as of Jul 01, 2026
- Regulatory AUM
- $2.3B
- Discretionary
- $2.1B
- Clients
- 2,797
- Avg AUM / client
- $808K
- Accounts
- 7,306
- Employees
- 64
AUM over time
$102M
$2.3B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,685 | $384M | 17.0% |
| High net worth individuals | 924 | $1.7B | 73.0% |
| Pension and profit sharing plans | 188 | $226M | 10.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Winstead 401(k) Savings And Profit Sharing Plan Winstead Pc | 2024 | |
| Southwest Airlines Pilots Retirement Savings Plan Southwest Airlines Company | 2024 | |
| Radiology Partners, Inc. Partner Plan Radiology Partners, Inc. | 2024 |
People (52)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Thomas Chatmas | Sole Member | Feb 2011 (15y) | ≈ 37.5% – 75% via Waterloo Capital Management Llc | |
| Gery Joseph Sadzewicz | Chief Compliance Officer | Jan 2012 (15y) | Less than 5% | |
| Donald Ralph Simoneaux | President | Mar 2016 (10y) | Less than 5% | |
| Rose, Adam, Joseph | Coo | Apr 2024 (2y) | Less than 5% | |
| Earline Fay Chapa | Registered representative | Dec 2009 (17y) | ||
| Bennett Hampton Woodward | Registered representative | CFA | Dec 2016 (10y) | |
| Lisa Ann Allen | Registered representative | Jan 2018 (9y) | ||
| Betty Jean Arias | Registered representative | CFP | Apr 2018 (8y) | |
| Frances Frazer Moore | Registered representative | Apr 2018 (8y) | ||
| Lori Gann Morris | Registered representative | Apr 2018 (8y) | ||
| Elizabeth Evette Mock Hernandez | Registered representative | Jun 2020 (6y) | ||
| Adam Giovanni D'acierno | Registered representative | Aug 2021 (5y) | ||
| Christopher John Hernandez | Registered representative | Aug 2021 (5y) | ||
| Robert John Russell | Registered representative | Aug 2021 (5y) | ||
| Sara Leigh Seely | Registered representative | CFA | Oct 2022 (4y) | |
| David Michael Sabonghy | Registered representative | Nov 2022 (4y) | ||
| Randy Keith Flowers | Registered representative | CFA | Nov 2022 (4y) | |
| Megan Diane Gegen | Registered representative | Dec 2022 (4y) | ||
| Andrew R Johnsen | Registered representative | Feb 2023 (3y) | ||
| Robert Patrick Blessing | Registered representative | Apr 2023 (3y) | ||
| Montgomery Phair Fortenbaugh | Registered representative | Jul 2023 (3y) | ||
| Mark J Mcadams | Registered representative | Aug 2023 (3y) | ||
| Steven Harris Livitz | Registered representative | Aug 2023 (3y) | ||
| Keith Ronan Nielsen | Registered representative | Sep 2023 (3y) | ||
| Grant Smith | Registered representative | CFP | Nov 2023 (3y) | |
| Grayson Harris Griffin | Registered representative | Nov 2023 (3y) | ||
| Steven Christian Schultheis | Registered representative | Nov 2023 (3y) | ||
| Joshua Thomas Teeters | Registered representative | Apr 2024 (2y) | ||
| Logan Pearce Moulton | Registered representative | CFA | Apr 2024 (2y) | |
| Grace Frazer Hill | Registered representative | Apr 2024 (2y) | ||
| George Stanley Abiassi | Registered representative | Aug 2024 (2y) | ||
| Benjamin Ashby Fuller | Registered representative | Jan 2025 (2y) | ||
| Dax Werner Weindorf | Registered representative | Jan 2025 (2y) | ||
| Kasey David Cooper | Registered representative | Jan 2025 (2y) | ||
| Michael Scott Yawn | Registered representative | Jan 2025 (2y) | ||
| Eric Ronald Wylie | Registered representative | Jan 2025 (2y) | ||
| Jarrod Shane Hix | Registered representative | Jan 2025 (2y) | ||
| Stuart W Huckin | Registered representative | Mar 2025 (1y) | ||
| Jonathan G Liles | Registered representative | May 2025 (1y) | ||
| Henry Guest Looney | Registered representative | Jun 2025 (1y) | ||
| Raymond Earl Goshert | Registered representative | CFP | Sep 2025 (1y) | |
| Sajal Emily Mutter | Registered representative | Nov 2025 (1y) | ||
| Crystal Dawn Reed | Registered representative | Jan 2026 (1y) | ||
| Chad Austin Kennedy | Registered representative | Jan 2026 (1y) | ||
| Ryan Jacob Roark | Registered representative | Jan 2026 (1y) | ||
| William Benton Warrenburg | Registered representative | Feb 2026 (0y) | ||
| Jordan N. Mehal | Registered representative | Feb 2026 (0y) | ||
| Richard Lance Belline | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| Jay Gregory Gehrke | Registered representative | Apr 2026 (0y) | ||
| Isabella Kathryn Richard | Registered representative | Apr 2026 (0y) | ||
| Steven Lewis Graham | Registered representative | Jul 2026 (0y) | ||
| Joseph Carl Blackwell | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Waterloo Capital Management Llc | General Partner | Dec 2012 | A | 50% – 75% |
Undisclosed: 5% – 50% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- John Thomas Chatmas: 75% – 100% of Waterloo Capital Management Llc × 50% – 75% direct ≈ 37.5% – 75% of the firm
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 (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Winstead 401(k) Savings And Profit Sharing Plan | Winstead Pc | 435 | $286M | 01/01/2024 |
| Southwest Airlines Pilots Retirement Savings Plan | Southwest Airlines Company | 11,679 | $11.6B | 01/01/2024 |
| Radiology Partners, Inc. Partner Plan | Radiology Partners, Inc. | 1,428 | $1.0B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/01/2026 | 1 MB | 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
- • Hourly charges
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $1.1B (48% of AUM) Jul 2026
- Fidelity Distributors Company Llc $793M (35% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Jul 01, 2026.
View current Form ADV (SEC/IAPD) ↗