Rollingwave Capital

Rollingwave Capital provides continuous, personalized investment advice and portfolio management to individual clients (both non‑high‑net‑worth and high‑net‑worth) as well as corporations, managing roughly $21 million across around 46 client accounts. Services focus on developing client‑specific investment policies and implementing discretionary portfolio management across equities, ETFs, mutual funds, fixed income and options.

The firm’s investment process blends fundamental, technical and cyclical analysis within an asset‑allocation framework and can employ both long‑ and short‑term strategies aligned with client objectives. It routinely uses active instruments — including options (covered calls and puts), short sales and margin — and typically recommends Interactive Brokers for execution and custody, with trade blocking and allocation across accounts when applicable.

Notable among peers, the firm discloses past regulatory and arbitration matters: the principal consented to a 45‑day FINRA suspension and a $5,000 fine for circumventing supervisory procedures, and an arbitration claim against the advisor’s former firm was settled by that firm in 2018; disclosure of such events is uncommon for independent advisers. The combination of a relatively modest asset base, an active options‑and‑margin‑capable strategy, and the practice of direct fee debits are practical features prospective clients may weigh when assessing oversight and operational arrangements.