M
Michael Waters Investment Advisers LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$2,350,000
Clients
9
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
9
Very LowAverage account size
$261,111
About
The firm provides customized investment management, financial planning, and consulting services to a mix of individuals and institutional clients. Its client base, as described in the brochure, includes individuals and high‑net‑worth clients as well as families, trusts, pension and profit‑sharing plans, charitable organizations, and other business entities.
Investment advice is delivered through a defined asset‑allocation process that incorporates quantitative analysis and the use of equity and derivative instruments alongside traditional securities such as ETFs, stocks, and fixed income. The firm generally manages portfolios on a discretionary basis, documents client objectives in an Investment Policy Statement, and accommodates client‑imposed restrictions and ongoing progress tracking.
What distinguishes the firm from many peers is its small, recently established structure combined with an unusually broad client scope for a firm of its size — notably charitable organizations and pension/profit‑sharing plans among its target clients. The firm’s investment approach also emphasizes quantitative, derivative‑aware strategies and its principal continues to maintain outside industry employment, which the brochure identifies as a factor in how supervision and time allocation are managed.
Client services
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Real estate investing
Wealth management
Fee options
$0 - $40,000: Minimum fee of $200 per semiannual period $40,001+: 0.80% semiannually (equivalent to 1.6% annually)
Account minimum: $40,000 Minimum fee: $200 per semiannual period for assets under $40,000
Main office location
Michael Waters Investment Advisers LLC
616 N Broadway
Oklahoma City OK 73012, United States
Number of offices
1
Most active in
Michael Waters Investment Advisers LLC has reported serving >5 clients in these states in the last 12 months.
Oklahoma
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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