9AT: WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC

Adviser Profile

As of Date	03/18/2026
Registration	SEC, Approved, 01/23/2017
Other registrations (1)	Texas, Terminated, 11/17/2017
ADV Location	ADDISON, TX, United States
Contact Info	214 xxxxxxx
Websites

AUM^*	228,453,367 52%
of that, discretionary	0
Number of Employees	3
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	690,191 49%
% High Net Worth	24.55% 92%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Banking or thrift institutions

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

228M 196M 163M 131M 98M 65M 33M

2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Description of Advisory Services: We have been in business since May 15, 2007. The principal owner is David P. O’Connor. Our total assets under management are $151 million as of December 31, 2023, all managed on a non- discretionary basis. We are a boutique investment management firm providing investment management services to high net worth individuals and families, both in their individual capacities and through trusts and family partnerships. We may also provide services to private pooled investment vehicles. We tailor our advisory services to the individual needs of our clients based on information provided to us by our clients regarding their financial needs and objectives. Clients may impose restrictions on investing in certain securities or types of securities. We offer advice on the following types of securities:  Exchange-listed equity securities  Securities traded over-the-counter  Municipal securities  United States government securities  Mutual funds  Exchange Traded Funds  Private investment funds, including

private equity funds and hedge fund We make recommendations to clients regarding which securities to buy and sell, when to buy and sell and what amounts. We will not implement any trade or portfolio reallocation without the consent of the client, either written or verbal. As a core part of our investment advice, we recommend investments in Exchange Traded Funds (ETFs). ETFs may assess a management fee as a shareholder expense in addition to the management fee that we charge. Money market funds also assess a management fee as a shareholder expense. We also offer management services for certain alternative investments. We will prepare due diligence on the investments and provide ongoing monitoring. We reserve the ability to hire and fire alternative investment managers as needed without prior consent of the client. An investment advisory client may close his/her account by giving us at least two days written notice. If an account is closed, any management fees will be prorated to the termination date. WCIAS ADV Part 2A March 2024 Page 5 of 23