# Rollingwave Capital

> Rollingwave Capital is a state-registered investment advisory firm in Palm Beach Gardens, FL, registered since 2020, reporting under $25 million in regulatory assets under management in its Form ADV filing dated April 30, 2026.

- CRD: 306453
- Filed as: ROLLINGWAVE CAPITAL
- Legal name: Rollingwave Capital LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Palm Beach Gardens, FL
- Filing period: October 2026
- Form ADV filing dated: April 30, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/306453
- AdvisorCensus page: https://advisorcensus.com/firm/rollingwave-capital-palm-beach-gardens-fl-306453

## Quick answers

**How is Rollingwave Capital compensated?**
On its Form ADV (Item 5.E, October 2026), Rollingwave Capital reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Rollingwave Capital located?**
Rollingwave Capital's principal office is in Palm Beach Gardens, FL, according to its Form ADV.

**Is Rollingwave Capital registered with the SEC or a state?**
Rollingwave Capital is a state-registered investment advisory firm, registered since 2020. Status as filed: APPROVED. CRD 306453.

**How much does Rollingwave Capital manage?**
Rollingwave Capital reports $21,000,000 in regulatory assets under management in its Form ADV filing dated April 30, 2026 (100% discretionary).

**What types of clients does Rollingwave Capital serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (40); high net worth individuals (27).

**Does Rollingwave Capital report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/306453

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $21,000,000
- Discretionary: $21,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 40 | $8,000,000 |
| High net worth individuals | 27 | $13,000,000 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2020 (6 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, MI, NC, SC
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/306453

### Websites listed on Form ADV (Item 1.I)
- [rollingwavecapital.com](https://rollingwavecapital.com)
- Instagram @rollingwave_capital
- X @rollingwavecap

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rollingwave Capital (CRD 306453): Form ADV filing data as of October 2026.