Chief Executive Officer

0001104659-20-068235.txt : 20200601 0001104659-20-068235.hdr.sgml : 20200601 20200601142153 ACCESSION NUMBER: 0001104659-20-068235 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200601 DATE AS OF CHANGE: 20200601 EFFECTIVENESS DATE: 20200601 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Waterloo Capital, L.P. CENTRAL INDEX KEY: 0001730942 IRS NUMBER: 201788544 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-20294 FILM NUMBER: 20932821 BUSINESS ADDRESS: STREET 1: 301 CONGRESS AVE STREET 2: SUITE 120 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 5126934363 MAIL ADDRESS: STREET 1: 301 CONGRESS AVE STREET 2: SUITE 120 CITY: AUSTIN STATE: TX ZIP: 78701 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001730942 XXXXXXXX 03-31-2020 03-31-2020 false Waterloo Capital, L.P.

301 Congress Ave Suite 120 Austin TX 78701

13F HOLDINGS REPORT 028-20294 N John Chatmas Chief Executive Officer 512-777-5901 /s/ John Chatmas Austin TX 05-15-2020 0 154 140854 INFORMATION TABLE 2 infotable.xml ACTIVISION INC COM 00507V109 296 4981 SH SOLE 4981 0 0 ADVANCED MICRO DEVICES INC COM COM 007903107 418 9200 SH SOLE 9200 0 0 AES CORP COM 00130H105 293 21553 SH SOLE 21553 0 0 AGFIQ U.S. MARKET NEUTRAL ANTI-BETA FUND AGFIQ US MK ANTI 00110G408 315 12280 SH SOLE 12280 0 0 ALPHABET INC CAP STK CL A CL A 02079K305 389 335 SH SOLE 335 0 0 ALPS TRUST ETF ALERIAN MLP ALERIAN MLP 00162Q866 112 32680 SH SOLE 32680 0 0 AMAZON.COM INC COM 023135106 2090 1072 SH SOLE 1072 0 0 AMERICAN TOWER CORP COM 03027X100 838 3847 SH SOLE 3846 0 0 APPLE INC COM 037833100 3606 14180 SH SOLE 14180 0 0 APPLIED MATLS INC COM COM 038222105 267 5825 SH SOLE 5825 0 0 APTUS COLLARED INCOME OPPORTUNITY ETF APTUS COLLARED 26922A222 7659 319003 SH SOLE 319003 0 0 APTUS DEFINED RISK ETF APTUS DEFINED 26922A388 13916 495578 SH SOLE 495578 0 0 APTUS DRAWDOWN MANAGED EQUITY ETF APTUS DRAWDOWN 26922A784 8385 298061 SH SOLE 298061 0 0 AVAGO TECHNOLOGIES LTD COM 11135F101 240 1012 SH SOLE 1012 0 0 BCE INC COM NEW COM NEW 05534B760 200 4896 SH SOLE 4896 0 0 BLACKROCK INC COM 09247X101 678 1541 SH SOLE 1541 0 0 BROADRIDGE FINL SOLUTIONS INC COM COM 11133T103 661 6973 SH SOLE 6973 0 0 CHARTER COMMUNICATIONS INC NEW CL A CL A 16119P108 233 535 SH SOLE 535 0 0 CHEMED CORP NEW COM COM 16359R103 268 618 SH SOLE 618 0 0 CHEVRON CORP NEW COM COM 166764100 224 3091 SH SOLE 3091 0 0 CISCO SYS INC COM 17275R102 240 6111 SH SOLE 6111 0 0 CITRIX SYSTEMS INC COM 177376100 325 2296 SH SOLE 2296 0 0 CMS ENERGY CORP COM COM 125896100 235 3993 SH SOLE 3993 0 0 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND COMMUNICATION 81369Y852 253 5723 SH SOLE 5723 0 0 CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND SBI CONS DISCR 81369Y407 262 2675 SH SOLE 2675 0 0 CONSUMER STAPLES SELECT SECTOR SPDR SBI CONS STPLS 81369Y308 262 4813 SH SOLE 4813 0 0 COPART INC COM 217204106 583 8510 SH SOLE 8510 0 0 DANAHER CORP COM 235851102 260 1879 SH SOLE 1879 0 0 DIGITAL REALTY TRUST INC COM 253868103 220 1587 SH SOLE 1587 0 0 DIREXION NASDAQ-100 EQUAL WEIGHTED INDEX SHARES NAS100 EQL WGT 25459Y207 425 9152 SH SOLE 9152 0 0 DISNEY WALT CO COM DISNEY COM DISNEY 254687106 209 2161 SH SOLE 2161 0 0 DOLLAR GEN CORP NEW COM COM 256677105 572 3791 SH SOLE 3791 0 0 ENERGY TRANSFER EQUITY L P COM UNIT LTD PARTNERSHIP COM 29273V100 75 16306 SH SOLE 16305 0 0 ENTERPRISE PRODS PARTNERS L P COM 293792107 179 12510 SH SOLE 12509 0 0 FIRST TRUST DOW JONES INTERNET INDEX FUND DJ INTERNT IDX 33733E302 212 1710 SH SOLE 1710 0 0 FIRST TRUST GLOBAL TACTICAL COMMODITY STRATEGY FUND FST TR GLB FD 33739H101 166 11610 SH SOLE 11610 0 0 FIRST TRUST INDXX GLOBAL NATURAL RESOURCES INCOME ETF INDXX NAT RE ETF 33734X838 153 18200 SH SOLE 18200 0 0 FIRST TRUST LOW DURATION MORTGAGE OPPORTUNITIES ETF FST LOW OPPT EFT 33739Q200 341 6679 SH SOLE 6678 0 0 FLEXSHARES STOXX GLOBAL BROAD INFRASTRUCTURE INDEX FUND STOXX GLOBR INF 33939L795 374 8644 SH SOLE 8644 0 0 FS KKR CAPITAL CORP COM COM 302635107 460 153426 SH SOLE 153425 0 0 GOLDMAN SACHS ACTIVEBETA INTERNATIONAL EQUITY ETF ACTIVEBETA INT 381430107 352 15261 SH SOLE 15261 0 0 HEALTH CARE SELECT SECTOR SPDR FUND SBI HEALTHCARE 81369Y209 428 4832 SH SOLE 4832 0 0 HERSHEY CO COM COM 427866108 258 1948 SH SOLE 1948 0 0 HOME DEPOT COM 437076102 1225 6561 SH SOLE 6560 0 0 INTEL CORP COM COM 458140100 1043 19266 SH SOLE 19266 0 0 INTL BUSINESS MACHINES COM 459200101 281 2537 SH SOLE 2537 0 0 INTUIT INC COM 461202103 204 885 SH SOLE 885 0 0 INVESCO DWA MOMENTUM ETF DWA MOMENTUM 46137V837 227 4203 SH SOLE 4203 0 0 INVESCO RUSSELL 1000 DYNAMIC MULTIFACTOR ETF RUSL 1000 DYNM 46138J619 276 10602 SH SOLE 10602 0 0 INVESCO S&P 500 QUALITY ETF S&P500 QUALITY 46137V241 352 11769 SH SOLE 11769 0 0 INVESCO S&P MIDCAP LOW VOLATILITY ETF S&P MIDCP LOW 46138E198 1396 35060 SH SOLE 35060 0 0 INVESCO TAXABLE MUNICIPAL BOND ETF TAXABLE MUN BD 46138G805 508 16425 SH SOLE 16425 0 0 IQ MERGER ARBITRAGE ETF IQ MRGR ARB ETF 45409B800 410 13588 SH SOLE 13588 0 0 ISHARES 1-3 YEAR TREASURY BOND ETF 1 3 YR TREAS BD 464287457 392 4519 SH SOLE 4519 0 0 ISHARES 20 Plus YEAR TREASURY BOND ETF 20 YR TR BD ETF 464287432 508 3078 SH SOLE 3078 0 0 ISHARES 7-10 YEAR TREASURY BOND ETF BARCLAYS 7 10 YR 464287440 293 2416 SH SOLE 2416 0 0 ISHARES AGGREGATE BOND ETF CORE US AGGBD ET 464287226 1776 15393 SH SOLE 15392 0 0 ISHARES COMEX GOLD TRUST ISHARES 464285105 529 35121 SH SOLE 35121 0 0 ISHARES CORE MSCI EMERGING MARKETS ETF CORE MSCI EMKT 46434G103 325 8033 SH SOLE 8033 0 0 ISHARES CORE MSCI INTERNATIONAL DEVELOPED MARKETS ETF CORE MSCI INTL 46435G326 468 10564 SH SOLE 10564 0 0 ISHARES CORE S&P MID CAP ETF CORE S&P MCP ETF 464287507 246 1710 SH SOLE 1710 0 0 ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF CORE S&P TTL STK 464287150 235 4110 SH SOLE 4110 0 0 ISHARES EDGE MSCI MIN VOL GLOBAL ETF MIN VOL GBL ETF 464286525 530 6595 SH SOLE 6595 0 0 ISHARES EDGE MSCI MIN VOL USA ETF MSCI MIN VOL ETF 46429B697 532 9855 SH SOLE 9855 0 0 ISHARES EDGE MSCI USA MOMENTUM FACTOR ETF USA MOMENTUM FCT 46432F396 938 8806 SH SOLE 8806 0 0 ISHARES FLOATING RATE BOND ETF FLTG RATE NT ETF 46429B655 494 10138 SH SOLE 10138 0 0 ISHARES GROWTH ALLOCATION FUND GRWT ALLOCAT ETF 464289867 4883 118012 SH SOLE 118012 0 0 ISHARES INTERMEDIATE CREDIT BOND ETF INTRM TR CRP ETF 464288638 264 4804 SH SOLE 4804 0 0 ISHARES LIQUIDITY INCOME ETF ULTR SH TRM BD 46434V878 1357 27173 SH SOLE 27173 0 0 ISHARES MODERATE ALLOCATION FUND MODERT ALLOC ETF 464289875 440 11964 SH SOLE 11964 0 0 ISHARES MORNINGSTAR MULTI-ASSET INCOME INDEX FUND MRNGSTR INC ETF 46432F875 518 25918 SH SOLE 25918 0 0 ISHARES MSCI SWITZERLAND ETF MSCI SWITZERLAND 464286749 204 5766 SH SOLE 5766 0 0 ISHARES RUSSELL 1000 GROWTH ETF RUS 1000 GRW ETF 464287614 633 4199 SH SOLE 4198 0 0 ISHARES RUSSELL 1000 VALUE ETF RUS 1000 VAL ETF 464287598 281 2830 SH SOLE 2830 0 0 ISHARES S&P 500 GROWTH ETF S&P 500 GRWT ETF 464287309 3126 18938 SH SOLE 18938 0 0 ISHARES S&P 500 INDEX CORE S&P500 ETF 464287200 1286 4977 SH SOLE 4977 0 0 ISHARES S&P AGGRESSIVE ALLOCATION FUND AGGRES ALLOC ETF 464289859 2318 48835 SH SOLE 48835 0 0 ISHARES TIPS BOND ETF TIPS BD ETF 464287176 486 4118 SH SOLE 4118 0 0 ISHARES TR RUSSELL 1000 INDEX ETF RUS 1000 ETF 464287622 295 2084 SH SOLE 2084 0 0 ISHARES U.S. TREASURY BOND ETF US TREAS BD ETF 46429B267 723 25815 SH SOLE 25815 0 0 JOHNSON & JOHNSON COM COM 478160104 289 2200 SH SOLE 2200 0 0 JPMORGAN CHASE & CO COM COM 46625H100 737 8185 SH SOLE 8185 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ULTRA SHRT INC 46641Q837 2228 44851 SH SOLE 44850 0 0 KAYNE ANDERSON MLP INVT CO COM 486606106 73 20000 SH SOLE 20000 0 0 KROGER CO COM COM 501044101 271 9007 SH SOLE 9007 0 0 LAM RESEARCH CORP COM 512807108 344 1433 SH SOLE 1433 0 0 LAREDO PETROLEUM INC COM COM 516806106 41 107550 SH SOLE 107550 0 0 MASIMO CORP COM COM 574795100 287 1618 SH SOLE 1618 0 0 MCDONALDS CORP COM COM 580135101 827 4999 SH SOLE 4999 0 0 MERCK & CO INC COM 58933Y105 446 5791 SH SOLE 5791 0 0 MICROSOFT COM 594918104 2140 13569 SH SOLE 13569 0 0 MSCI INC COM COM 55354G100 446 1544 SH SOLE 1544 0 0 NEXTERA ENERGY INC COM COM 65339F101 254 1057 SH SOLE 1057 0 0 NRG ENERGY INC NEW COM NEW 629377508 256 9385 SH SOLE 9385 0 0 NUVEEN AMT FREE QLTY MUN INCME COM COM 670657105 167 12299 SH SOLE 12299 0 0 OPUS SMALL CAP VALUE ETF OPUS SML CP VL 26922A446 4153 222196 SH SOLE 222196 0 0 PACKAGING CORP OF AMERICA COM 695156109 603 6945 SH SOLE 6945 0 0 PEPSICO INC COM COM 713448108 873 7272 SH SOLE 7271 0 0 PIMCO 15 Plus YEAR U.S. TIPS INDEX EXCHANGE-TRADED FUND 15+ YR US TIPS 72201R304 461 5922 SH SOLE 5922 0 0 PIMCO ENHANCED SHORT MATURITY ACTIVE EXCHANGE-TRADED FUND ENHAN SHRT MA AC 72201R833 1178 11904 SH SOLE 11904 0 0 PIMCO INTERMEDIATE MUNICIPAL BOND ACTIVE EXCHANGE-TRADED FUND INTER MUN BD ACT 72201R866 346 6335 SH SOLE 6335 0 0 PIMCO INVESTMENT GRADE CORPORATE BOND INDEX EXCHANGE-TRADED FUND INV GRD CRP BD 72201R817 509 4807 SH SOLE 4807 0 0 POWERSHARES QQQ TR UNIT SER 1 46090E103 2485 13049 SH SOLE 13049 0 0 PROCTER AND GAMBLE CO COM COM 742718109 326 2960 SH SOLE 2959 0 0 RAYMOND JAMES FINL INC COM 754730109 214 3379 SH SOLE 3379 0 0 ROLLINS INC COM COM 775711104 204 5639 SH SOLE 5639 0 0 ROPER INDUSTRIES INC COM 776696106 638 2047 SH SOLE 2047 0 0 SBA COMMUNICATIONS CP CL A 78410G104 256 949 SH SOLE 949 0 0 SCHWAB ETFS- US BROAD MARKET ETF US BRD MKT ETF 808524102 993 16432 SH SOLE 16432 0 0 SCHWAB INTERMEDIATE-TERM U.S. TREASURY ETF INTRM TRM TRES 808524854 345 5864 SH SOLE 5863 0 0 SCHWAB SHORT-TERM U.S. TREASURY ETF SHT TM US TRES 808524862 1451 28056 SH SOLE 28055 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF US LRG CAP ETF 808524201 1261 20587 SH SOLE 20586 0 0 SCHWAB US AGGREGATE BOND ETF US AGGREGATE B 808524839 1066 19640 SH SOLE 19640 0 0 SCHWAB US LARGE CAP GROWTH ETF US LCAP GR ETF 808524300 1306 16402 SH SOLE 16401 0 0 SCHWAB US LARGE CAP VALUE ETF US LCAP VA ETF 808524409 659 14889 SH SOLE 14888 0 0 SCHWAB US TIPS ETF US TIPS ETF 808524870 855 14867 SH SOLE 14866 0 0 SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF BLMBRG BRC CNVRT 78464A359 441 9220 SH SOLE 9220 0 0 SPDR BLOOMBERG BARCLAYS INVESTMENT GRADE FLOATING RATE ETF BLOMBERG BRC INV 78468R200 1267 43107 SH SOLE 43107 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF SPDR TR TACTIC 78467V848 214 4452 SH SOLE 4452 0 0 SPDR DOW JONES INDUSTRIAL AVERAGE ETF UT SER 1 78467X109 855 3900 SH SOLE 3900 0 0 SPDR GOLD ETF GOLD SHS 78463V107 556 3756 SH SOLE 3756 0 0 SPDR MSCI USA STRATEGICFACTORS ETF MSCI USA STRTGIC 78468R812 491 6425 SH SOLE 6425 0 0 SPDR PORTFOLIO AGGREGATE BOND ETF PORTFOLIO AGRGTE 78464A649 5721 189306 SH SOLE 189306 0 0 SPDR PORTFOLIO DEVELOPED WORLD EX-US ETF PORTFOLIO DEVLPD 78463X889 2881 120358 SH SOLE 120358 0 0 SPDR PORTFOLIO EMERGING MARKETS ETF PORTFOLIO EMG MK 78463X509 1981 69624 SH SOLE 69624 0 0 SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF PORTFOLIO INTRMD 78464A375 259 7619 SH SOLE 7619 0 0 SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET ETF PORTFOLI S&P1500 78464A805 2517 80030 SH SOLE 80030 0 0 SPDR PORTFOLIO SHORT TERM TREASURY ETF PORTFOLIO SH TSR 78468R101 581 18898 SH SOLE 18898 0 0 SPDR SSGA GLOBAL ALLOCATION ETF GLOBL ALLO ETF 78467V400 273 8331 SH SOLE 8331 0 0 SPDR SSGA ULTRA SHORT TERM BOND ETF ULT SHT TRM BD 78467V707 1426 36620 SH SOLE 36620 0 0 STARBUCKS CORP COM 855244109 858 13045 SH SOLE 13045 0 0 SYNOPSYS INC COM COM 871607107 341 2648 SH SOLE 2648 0 0 TECHNOLOGY SELECT SECTOR SPDR FUND TECHNOLOGY 81369Y803 716 8910 SH SOLE 8910 0 0 TYSON FOODS INC CL A CL A 902494103 226 3897 SH SOLE 3897 0 0 U.S. GLOBAL JETS ETF US GLB JETS 26922A842 212 14360 SH SOLE 14360 0 0 UNITEDHEALTH GROUP COM 91324P102 841 3373 SH SOLE 3373 0 0 VALERO ENERGY CORP COM 91913Y100 217 4791 SH SOLE 4791 0 0 VANECK VECTORS INVESTMENT GRADE FLOATING RATE ETF INVT GRADE FLTG 92189F486 279 11793 SH SOLE 11793 0 0 VANECK VECTORS MORNINGSTAR WIDE MOAT ETF MORNINGSTAR WIDE 92189F643 517 11829 SH SOLE 11829 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF FTSE DEV MKT ETF 921943858 647 19395 SH SOLE 19395 0 0 VANGUARD FTSE EMERGING MARKETS ETF FTSE EMR MKT ETF 922042858 467 13913 SH SOLE 13913 0 0 VANGUARD INTERMEDIATE-TERM BOND INDEX FUND INTERMED TERM 921937819 531 5943 SH SOLE 5943 0 0 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF INT-TERM CORP 92206C870 391 4490 SH SOLE 4490 0 0 VANGUARD MORTGAGE-BACKED SECURITIES ETF MORTG-BACK SEC 92206C771 359 6578 SH SOLE 6578 0 0 VANGUARD S&P 500 ETF S&P 500 ETF SHS 922908363 920 3883 SH SOLE 3883 0 0 VANGUARD TOTAL BOND MARKET ETF TOTAL BND MRKT 921937835 334 3913 SH SOLE 3913 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND TOTAL STK MKT 922908769 310 2402 SH SOLE 2402 0 0 VANGUARD VALUE INDEX FUND VALUE ETF 922908744 524 5887 SH SOLE 5887 0 0 VICTORYSHARES USAA MSCI USA SMALL CAP VALUE MOMENTUM ETF VICTORYSHS SMLCP 92647N568 947 25900 SH SOLE 25900 0 0 VISA INC CL A 92826C839 1013 6287 SH SOLE 6287 0 0 WALMART INC COM COM 931142103 341 3005 SH SOLE 3005 0 0 WASTE MANAGEMENT INC COM 94106L109 536 5793 SH SOLE 5793 0 0 WISDOMTREE FLOATING RATE TREASURY FUND FLOATNG RAT TREA 97717X628 2332 92860 SH SOLE 92860 0 0 WP CAREY INC COM COM 92936U109 610 10500 SH SOLE 10500 0 0