A complete list of active advisors currently associated with Rollingwave Capital

Warmer can help you find a great advisor at Rollingwave Capital or one who fits your needs even better.

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.

To learn more about the advisors currently working at Rollingwave Capital, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.