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WATERLOO CAPITAL

AUSTIN, TX · CRD 133705 · IAPD ↗ · hapinvestments.com · 512-777-5900

$2.26BRegulatory AUM
44Advisory reps
64Employees
0Clients
251-500Planning clients
0Private funds
28States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
October 2026 — WATERLOO CAPITAL notice-filed in VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
October 2026 — WATERLOO CAPITAL added office(s): 12 -> 13 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
30
August 2026 — WATERLOO CAPITAL changed its website from elementconsultants.com to hapinvestments.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
55
July 2026 — WATERLOO CAPITAL added office(s): 11 -> 12 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
April 2026 — WATERLOO CAPITAL added office(s): 9 -> 11 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
66
April 2026 — WATERLOO CAPITAL reported RAUM up 34% ($1.69B -> $2.26B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
77
April 2026 — WATERLOO CAPITAL grew from 37 to 44 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
February 2026 — WATERLOO CAPITAL notice-filed in AZ, CT, FL, ID, IL, IN, KS, KY, MI, MN, MO, NH, NJ, NM, OK, SC, TN, WA, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
December 2025 — WATERLOO CAPITAL added office(s): 7 -> 9 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
April 2025 — WATERLOO CAPITAL reported RAUM up 29% ($1.30B -> $1.69B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
78
April 2025 — WATERLOO CAPITAL grew from 29 to 37 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
83
March 2024 — WATERLOO CAPITAL grew from 16 to 29 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
85
March 2024 — WATERLOO CAPITAL crossed $1B in regulatory AUM ($745.5M -> $1.30B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.