Tadpole Investments LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Tadpole Investments LLC provides discretionary portfolio management and one-time financial planning to individual and high-net-worth clients, documenting objectives and risk tolerances in an Investment Policy Statement for each account. Like many independent advisers, it charges asset-based advisory fees and delivers quarterly reporting and periodic reviews.
The firm applies cyclical, fundamental and quantitative analysis and uses a range of trading strategies from long-term holdings to short-term trading, including short sales, margin and options, with discretion to implement transactions on clients’ behalf. Tadpole requires clients to custody assets at a specified broker-dealer and conducts quarterly account reviews while permitting reviews outside that cadence for material events.
A distinctive feature is that Tadpole offers performance-based fee arrangements to qualified clients, a practice that is relatively uncommon among peers and that the firm addresses with allocation controls and high-water-mark provisions. The adviser operates with a small client roster and modest assets under management, provides financial planning as a separate engagement, and discloses the potential for custodial soft-dollar research benefits.
Client services
Expertise
Fee options
1.25% annually
$100 per hour
Annual fee of 0.5% of assets under management plus 8.00% performance fee on capital appreciation with a high water mark, charged to qualified clients only
Account minimum: $20,000
Main office
Stamford CT
Advisors at this office
1
Most active in
Connecticut
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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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.
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