TIDAL INVESTMENTS LLC
Firm details
- Headquarters
- MILWAUKEE, Wisconsin
- CRD number
- 164201
- Registered since
- July 20, 2012
- Website
- tidalfinancialgroup.com
- Custodians
- CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC, MATRIX SECURITIES, INC.
- Fee structure
- Percentage of AUM, Fixed Fees
- Client types
- Investment Companies97.62%
- Pooled Investment Vehicles2.09%
- Charitable Organizations0.09%
- Pension & Profit Sharing Plans0.07%
- Other Investment Advisers0.06%
- Services
- Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPension ConsultingSelection of Other Advisers
Firm profile
FINTRXOverview
Tidal Investments LLC is an SEC-registered limited liability company (registered in 2012) that serves both high‑net‑worth individual and family clients as well as institutional clients. The firm acts as a capital allocator and combines percentage‑of‑AUM and fixed‑fee billing. Its business activities include operating as a commodity pool operator/commodity trading advisor (CPO/CTA) and acting as a financial product salesperson. On the advisory side Tidal provides discretionary portfolio management across individuals/small businesses, investment companies and pooled investment vehicles, and it also offers pension consulting and selection-of-other-advisers services. The firm does not identify as an active ESG investor and is not designated as a multi‑state adviser.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities49%
- Public Funds/Mutual Funds47%
- Non-Exchange Traded Equities2%
- Private Funds1%
- Cash & Cash Equivalents1%
Owners & executives
3 of 8GUILLERMO TRIAS
Chief Executive OfficerCRD 6370254
RONNIE RIVEN
Chief Financial OfficerCRD 7894157
ERIC FALKEIS
Co-Founder and Chief Operating OfficerCRD 4133585
Contacts
3 of 3MICHAEL PELLEGRINO
General CounselCRD 3131099
MICHAEL VOSTRIZANSKY
DirectorCRD 5454910
DOUGLAS RESCHO
DirectorCRD 4893645
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 250Active vs passive
$4.3B in ETFs
64%
$2.8B
16%
$1.5B
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| STATE STREET(R) SPDR(R) PORTFOLIO S&P 500(R) ETF (SPYM) | State Street | $299M | 3,900,617 | 6.95% |
Location
MILWAUKEE, WI
MILWAUKEE
Location
MILWAUKEE, WI
Headquartered in MILWAUKEE, WI, anchoring the Milwaukee-Racine-Waukesha, WI metro in the Midwest.
- Metro area
- Milwaukee-Racine-Waukesha, WI
- Region
- Midwest
- County
- MILWAUKEE
- Address
- 234 W Florida St
- Time zone
- CT (UTC-6)
- Office locations
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