New Wave Financial LLC

Overview

New Wave Financial LLC is a small, independent registered investment adviser that serves individual and family clients with a mix of financial planning and discretionary portfolio management. The firm operates as a capital allocator and provides selection-of-other-advisers services, which indicates it places client capital with third-party managers in addition to managing portfolios directly. Its stated fee model combines percentage-of-AUM and fixed-fee arrangements, suitable for a boutique practice focused on a limited number of relationships. Investment activity is tilted toward publicly traded equities and exchange-traded products; the firm lists equities as its most used asset class and appears to prefer liquid, easily traded instruments for the bulk of client portfolios. Given the firm’s small scale, emphasis on individualized planning and outsourced manager selection suggests a hands-on advisor role for each client rather than a product-driven practice.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices