Rollingwave Capital

Rollingwave Capital is a small, independent advisory firm serving primarily individual investors (including high-net-worth clients) and some corporate clients, managing about $21 million across roughly 67 accounts. The firm provides continuous, discretionary portfolio management and charges fees based on a percentage of assets under management, a common approach among independent advisers.

The firm develops client-specific investment policies through ongoing discussions of goals, risk tolerance, and time horizon, and employs fundamental, technical, and cyclical analysis to guide asset-allocation and security selection. It uses a range of active strategies — including long- and short-term positions, option strategies (covered calls and selling puts), short sales, and margin — and recommends custodian relationships with Interactive Brokers to support trade execution and reporting.

Noteworthy for a firm of its size, Rollingwave Capital discloses prior regulatory and arbitration-related events: a 2015 FINRA acceptance, waiver, and consent relating to a 2012 trade that resulted in a 45-day suspension and monetary sanction, and a 2017 arbitration claim against a former firm that was later settled; only a small share of independent advisers report such disclosure events. The firm is a solo-practitioner practice in which the managing member serves as both chief compliance officer and sole internal supervisor, which may be relevant when comparing governance and oversight to peers.