← Tributary

LAKE WATER ADVISORY, LLC

· CRD 327854 · IAPD ↗ · lakewatercap.com · 315-730-7432

$40.0MRegulatory AUM
1Advisory reps
1Employees
0Clients
26-50Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
March 2025 — LAKE WATER ADVISORY, LLC (location n/a) left the SEC roster (was $40.0M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
65
October 2024 — LAKE WATER ADVISORY, LLC now reports custody of client assets ($40.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
42
April 2024 — LAKE WATER ADVISORY, LLC notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
March 2024 — LAKE WATER 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
70
March 2024 — LAKE WATER ADVISORY, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP

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