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WATERSTONE FINANCIAL ADVISORY LLC

FORT MYERS, FL · CRD 325012 · IAPD ↗ · waterstonefs.com · 239-288-0977

$262.5MRegulatory AUM
3Advisory reps
5Employees
3Clients
51-100Planning clients
0Private funds
10States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
August 2026 — WATERSTONE FINANCIAL ADVISORY LLC notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
61
February 2026 — WATERSTONE FINANCIAL ADVISORY LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
64
March 2025 — WATERSTONE FINANCIAL ADVISORY LLC reports 26-50 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
44
July 2024 — WATERSTONE FINANCIAL ADVISORY LLC notice-filed in IL, TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
February 2024 — WATERSTONE FINANCIAL ADVISORY LLC shrank from 6 to 3 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

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