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Waterfront Wealth Inc. — 13F Holdings & Portfolio

CIK 1775210 · latest 13F-HR filed 2026-11-03

Backtest portfolio

Waterfront Wealth Inc. manages $627.0M in 13F-reported U.S. long-equity assets across 299 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are AAPL (2.74%), BRK.B (2.66%), SGOV (2.32%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 19 new positions and exited 18; 87 existing positions rose in reported value and 92 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$627.0M

Long-equity book

Holdings
299

Distinct positions

Period
2026-09-30

Filed 2026-11-03

Q/Q Activity
+19 / −18 / ↑87 / ↓92

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
AAPL2.7% · -6%BRK.B2.7% · -0%SGOV2.3% · -4%AVUV2.1% · -2%CSM2.1% · +4%VOO1.8% · +2%GOOGL1.8% · +14%MSFT1.7% · -0%BGY1.6% · +2%AVLC1.5% · +2%TCAL1.4% · +6%ADX1.3% · -6%BDJ1.3% · +1%RVT1.2% · -7%CBSH1.2% · -1%AVDE1.2% · +6%AVEM1.1% · +6%FNDF1.1% · +5%JSI1.1% · +5%JEF1.0% · +0%AMD1.0% · -15%DFAU1.0% · -2%DXC1.0% · -0%DUHP1.0% · -2%AMZN0.9% · -0%SUZ0.9% · +27%SPY0.8% · +1%MU0.8% · -4%XPER0.8% · +50%DIHP0.7% · -1%HPE0.7% · -22%PAGS0.7% · +8%FNDA0.7% · +5%AVDV0.7% · +2%MRVL0.7% · -23%BN0.7% · +1%DFAI0.7% · -2%DFIC0.7% · -1%DLS0.7% · +2%EUFN0.7% · -2%AOD0.7% · -0%KKR0.7% · +1%CI0.6% · +10%AVGO0.6% · +19%UPS0.6% · -0%DMC0.6% · newFTCS0.6% · +0%KD0.6% · -1%SCHM0.6% · +4%CSCO0.6% · -2%PYPL0.6% · -32%M0.6% · -19%CRTO0.6% · +1%BHF0.6% · +97%DFEM0.6% · -2%VBIL0.6% · newUNP0.5% · -3%JAZZ0.5% · -0%DFIS0.5% · -1%SPYM0.5% · -4%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 20.3%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Aug 19, 2026.

Assets Under Management
$1.14B
Discretionary
$1.14B
Employees
14
Accounts
3,224
Address
6711 W 121ST STREET
SUITE 200
OVERLAND PARK, KS 66209
Phone
(913) 951-5800
Website
This firm reports 2 disclosure items on its registration.
Name Title / Status Ownership Type
RATZLAFF, ROGER, CARTER ControlCEO/CCO
since Jan 2012
75% or moreIndividual
Ownership & leadership changes · 3 filings with changes since Mar 6, 2015

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Sep 2, 2021 filing
  • No longer listedGOOD, ANNA, NICOLE · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Jan 2014
  • ChangedRATZLAFF, ROGER, CARTER · title CEO → CEO/CCO
May 5, 2017 filing
  • ChangedGOOD, ANNA, NICOLE · title ASST. COMPLIANCE OFFICER → CHIEF COMPLIANCE OFFICER
  • ChangedRATZLAFF, ROGER, CARTER · title CEO/CCO → CEO
Mar 8, 2017 filing
  • ChangedGOOD, ANNA, NICOLE · title CCO → ASST. COMPLIANCE OFFICER
  • ChangedRATZLAFF, ROGER, CARTER · title CEO → CEO/CCO
Mar 6, 2015 filing (earliest on record)
  • ListedGOOD, ANNA, NICOLE · CCO · Less than 5%
  • ListedRATZLAFF, ROGER, CARTER · CEO · 75% or more · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Waterfront Wealth Inc. Holdings (2026-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 APPLE INC AAPL 037833100 $17.2M 2.74% 50,643 SH
2 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $16.7M 2.66% 30,950 SH
3 ISHARES TR SGOV 46436E718 $14.6M 2.32% 144,336 SH
4 AMERICAN CENTY ETF TR AVUV 025072877 $13.2M 2.11% 109,369 SH
5 PROSHARES TR CSM 74347R248 $12.9M 2.05% 147,172 SH
6 VANGUARD INDEX FDS VOO 922908363 $11.3M 1.80% 16,008 SH
7 ALPHABET INC GOOGL 02079K305 $11.0M 1.76% 32,526 SH
8 MICROSOFT CORP MSFT 594918104 $10.6M 1.69% 20,029 SH
9 BLACKROCK ENHANCED INTL DIV BGY 092524107 $9.9M 1.58% 1,811,833 SH
10 AMERICAN CENTY ETF TR AVLC 025072158 $9.7M 1.54% 106,261 SH
11 T ROWE PRICE EXCHANGE-TRADED TCAL 87283Q784 $9.0M 1.44% 392,879 SH
12 ADAMS DIVERSIFIED EQUITY FD ADX 006212104 $8.4M 1.34% 326,142 SH
13 BLACKROCK ENHANCED EQUITY DI BDJ 09251A104 $8.2M 1.31% 860,000 SH
14 ROYCE SMALL CAP TRUST INC RVT 780910105 $7.7M 1.23% 461,960 SH
15 COMMERCE BANCSHARES INC CBSH 200525103 $7.5M 1.19% 134,707 SH
16 AMERICAN CENTY ETF TR AVDE 025072703 $7.3M 1.17% 81,473 SH
17 AMERICAN CENTY ETF TR AVEM 025072604 $7.1M 1.14% 79,699 SH
18 SCHWAB STRATEGIC TR FNDF 808524755 $7.0M 1.12% 129,363 SH
19 JANUS DETROIT STR TR JSI 47103U746 $6.6M 1.06% 132,725 SH
20 JEFFERIES FINANCIAL GROUP IN JEF 47233W109 $6.6M 1.05% 145,887 SH
21 ADVANCED MICRO DEVICES INC AMD 007903107 $6.3M 1.01% 11,721 SH
22 DIMENSIONAL ETF TRUST DFAU 25434V104 $6.2M 1.00% 118,118 SH
23 DXC TECHNOLOGY CO DXC 23355L106 $6.2M 1.00% 430,731 SH
24 DFA INVT DIMENSIONS GROUP IN DUHP 25239Y196 $6.0M 0.95% 140,438 SH
25 AMAZON COM INC AMZN 023135106 $5.6M 0.89% 21,212 SH
26 SUZANO S A SUZ 86959K105 $5.5M 0.87% 647,713 SH
27 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $5.3M 0.85% 6,915 SH
28 MICRON TECHNOLOGY INC MU 595112103 $4.9M 0.79% 5,460 SH
29 XPERI INC XPER 98423J101 $4.8M 0.77% 935,294 SH
30 DIMENSIONAL ETF TRUST DIHP 25434V765 $4.7M 0.75% 136,521 SH
31 HEWLETT PACKARD ENTERPRISE C HPE 42824C109 $4.7M 0.75% 83,371 SH
32 PAGSEGURO DIGITAL LTD PAGS G68707101 $4.6M 0.73% 390,525 SH
33 SCHWAB STRATEGIC TR FNDA 808524763 $4.5M 0.72% 127,068 SH
34 AMERICAN CENTY ETF TR AVDV 025072802 $4.4M 0.69% 40,463 SH
35 MARVELL TECHNOLOGY INC MRVL 573874104 $4.3M 0.68% 17,804 SH
36 BROOKFIELD CORP BN 11271J107 $4.3M 0.68% 114,122 SH
37 DIMENSIONAL ETF TRUST DFAI 25434V203 $4.3M 0.68% 102,210 SH
38 DIMENSIONAL ETF TRUST DFIC 25434V799 $4.2M 0.68% 112,292 SH
39 WISDOMTREE TR DLS 97717W760 $4.2M 0.66% 48,410 SH
40 ISHARES TR EUFN 464289180 $4.2M 0.66% 107,994 SH
41 ABRDN TOTAL DYNAMIC DIVIDEND AOD 00326L100 $4.1M 0.66% 408,154 SH
42 KKR & CO INC KKR 48251W104 $4.1M 0.65% 46,047 SH
43 THE CIGNA GROUP CI 125523100 $4.1M 0.65% 13,295 SH
44 BROADCOM INC AVGO 11135F101 $4.0M 0.64% 12,046 SH
45 UNITED PARCEL SVCS INC UPS 911312106 $4.0M 0.64% 40,459 SH
46 DEL MONTE CORP DMC G36738105 $4.0M 0.64% 135,506 SH
47 FIRST TR EXCHANGE-TRADED FD FTCS 33733E104 $3.9M 0.62% 39,033 SH
48 KYNDRYL HLDGS INC KD 50155Q100 $3.9M 0.62% 277,577 SH
49 SCHWAB STRATEGIC TR SCHM 808524508 $3.9M 0.62% 111,626 SH
50 CISCO SYS INC CSCO 17275R102 $3.8M 0.61% 35,757 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-11-03 $627.0M 299 0001775210-26-000010
2026-06-30 2026-07-30 $645.5M 298 0001775210-26-000008
2026-03-31 2026-04-30 $544.6M 283 0001775210-26-000004
2025-12-31 2026-01-27 $526.3M 273 0001775210-26-000002
Filer Information
Address
6711 W 121ST STREET
SUITE 200
OVERLAND PARK, KS 66209
Phone
(913) 951-5800
Filing Manager
Waterfront Wealth Inc.
OVERLAND PARK, KS
Signatory
Roger Ratzlaff
Chief Compliance Officer