Waller Wealth Management, LLC

Waller Wealth Management is an independent advisory firm that serves individual and high‑net‑worth clients with ongoing portfolio management, financial planning, and supervisory oversight of held‑away retirement accounts. The firm’s advice generally covers mutual funds, ETFs, equities, fixed income, real estate funds, annuities, private placements and commodities, and it also implements options, margin and short‑sale strategies where appropriate.

The firm tailors recommendations to each client’s goals, risk tolerance and time horizon and typically seeks discretionary authority to manage accounts, using methods that include fundamental, technical, quantitative analysis and modern portfolio theory. Digital‑advisory accounts use automated allocation revisions while other accounts receive quarterly reviews; financial planning is generally delivered as a one‑time plan unless additional services are requested.

Notably, the firm operates as a solo practice with an unusually high client load for a single advisor (roughly 290 clients), and the sole advisor is concurrently a registered representative of a broker‑dealer and a licensed insurance agent, which the brochure discloses can create conflicts of interest when commissionable products are recommended. The firm requires use of a single custodian platform (LPL Financial) and receives custodial support services, structural features the brochure identifies as relevant to how services are delivered and monitored.