David M. Sabonghy

WATERLOO CAPITAL

SUGAR LAND, TX

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CRD#: 4521976

Professional summary

David Michael Sabonghy, who also goes by David Sabonghy, is a registered financial advisor currently at WATERLOO CAPITAL located in Sugar Land, Texas.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. David has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Sabonghy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1-SABONGHY INTERESTS LLC; HOUSTON, TX; OIL AND GAS; PRESIDENT; BEGAN 8/2007; 1 HOUR PER WEEK OUTSIDE NORMAL OFFICE HOURS; NO TIME DURING TRADING HOURS**

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Sabonghy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 1, 2022 - Present

WATERLOO CAPITAL

RIA

CRD#: 133705

SUGAR LAND, TX

Past

October 14, 2017 - November 16, 2022

AVIDIAN WEALTH SOLUTIONS

RIA

CRD#: 127186

HOUSTON, TX

Past

February 24, 2011 - October 11, 2017

MORGAN STANLEY

RIA

CRD#: 149777

HOUSTON, TX

Past

February 24, 2011 - October 11, 2017

MORGAN STANLEY

CRD#: 149777

HOUSTON, TX

Past

September 3, 2002 - March 3, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HOUSTON, TX

Past

June 12, 2002 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 12, 2002 - March 3, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(11/1/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/1/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/11/2002

General Securities Representative Examination

Current Firm

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

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Contact information

Main Address

2801 Via Fortuna Suite 250, Austin, TX 78746

Mailing Address

Phone number

(512) 777-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATERLOO CAPITAL WRAP FEE PROGRAM BROCHURE (7/29/2025)

WATERLOO CAPITAL PART 2A (7/29/2025)

Regulatory assets under management

Total Number of Accounts	6,775
AUM (Assets Under Management)	$ 1,686,618,820

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David M. Sabonghy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Sabonghy's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVIDIAN WEALTH SOLUTIONS

MORGAN STANLEY

MORGAN STANLEY

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

WATERLOO CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 7/1/2002

SIE

Date: 10/11/2017

Series 7

Date: 6/11/2002

Current Firm

WATERLOO CAPITAL

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERLOO CAPITAL

TRUST BUT VERIFY

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