Tadpole Investments LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$1,995,039
Total clients
12
17% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
12
Average account size
$166,253
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
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
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 location
Tadpole Investments LLC
Stamford CT, United States
Number of offices
1
Most active in
Tadpole Investments LLC has reported serving >5 clients in these states in the last 12 months.
Connecticut
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:
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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.
Forms ADV
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