Emerald Waves Investments, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$4,156,310
Clients
16
56% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
16
TypicalAverage account size
$259,769
About
Emerald Waves Investments, LLC provides fee-based investment advisory and portfolio management services to individuals and a range of institutional clients, including pension and profit‑sharing plans, trusts, estates, charitable organizations and corporate entities. As a solo independent registered firm, it manages approximately $4.16 million in discretionary assets for sixteen client relationships and integrates financial planning into its advisory services without providing a separate written plan.
The firm follows a tactical allocation philosophy and implements a long/short "RC Strategy" that requires active trading to maintain target allocations, using fundamental, technical and cyclical analysis. It invests across a broad set of instruments — including exchange‑listed and over‑the‑counter equities, foreign securities, corporate and municipal debt, mutual funds, government securities and options — and may employ cash positions, sector stock selections, and rebalancing to manage risk.
Distinctive features include the firm’s provision of portfolio management to institutional clients despite its small, single‑adviser structure — a practice that is uncommon among independent advisers. Emerald Waves operates on a discretionary basis, does not accept custody of client assets except for authorized fee deductions, and describes specific execution, order aggregation and ethical practices in its brochure.
Client services
Financial planning
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Fee options
Portfolio consultation flat fee charged at 0.50% of assets under consultation
$0+: 2.00% per annum (RC Strategy) $0+: 0.50% per annum (Mutual Fund/Bond accounts) $0+: < 2.00% per annum (Combined accounts, fee based on RC Strategy weight)
Account minimum: $45,000
Main office location
Emerald Waves Investments, LLC
Cupertino CA, United States
Number of offices
1
Most active in
Emerald Waves Investments, LLC has reported serving >5 clients in these states in the last 12 months.
California · Texas
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:
-
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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