TrueAdvisor
TrueAdvisor
FM
FM

Frances Moore

Waterloo Capital
40 Years of Experience
Austin, TX
1 DisclosureMay Earn Commission
View SEC Summary
View SEC Summary

Frances Moore is a registered investment advisor at Waterloo Capital, based in Austin, TX, with 40 years of industry experience. Their practice areas include Alternative Investments, Business Owners, Charitable Giving, Corporate Executives, and 8 more. Their firm serves 2,797 clients with $2.3B in assets under management.

Waterloo Capital
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
56 advisors
Number of Clients
2,797 clients
Average Client Portfolio
$808K average
Assets Under Management
$2.3B

Fee Structure

Minimum Investment:$1M
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum advisory fee is 2.0% and is negotiable. Sub-adviser or model manager platform fees are charged in addition to the advisory fee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2801 Via Fortuna, Suite 250, Austin, TX, 78746

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2011
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Frances is the Treasurer of the Endowment Fund for All Saints Episcopal Church since January 2023, which is not investment related. She is also a Partner and Advisor with MAM Group LLC dba AMG Wealth Advisors, where she manages client assets.

Employment History
Current Registrations
Waterloo Capital
April 2018 - Present · 8 yrs 6 mos
Previous Registrations
Raymond James & Associates, INC.
February 2013 - April 2018 · 5 yrs 2 mos
Raymond James & Associates, INC.Broker
February 2013 - April 2018 · 5 yrs 2 mos
Morgan Keegan & Company, INC.
March 1996 - February 2013 · 16 yrs 11 mos
Morgan Keegan & Company, INC.Broker
March 1996 - February 2013 · 16 yrs 11 mos
Nationsbanc Capital Markets, INC.Broker
January 1991 - April 1996 · 5 yrs 3 mos
Ncnb Securities, INC.Broker
April 1990 - January 1991 · 9 mos
Isfa CorporationBroker
February 1988 - June 1989 · 1 yr 4 mos
Ncnb Texas Securities, INC.Broker
November 1987 - April 1990 · 2 yrs 5 mos
Republicbank Financial Markets, INC.Broker
August 1986 - November 1987 · 1 yr 3 mos
State Registrations1 state
TX
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Austin, TX →All financial advisors in Texas →