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NOVAWAVE CAPITAL

MENLO PARK, CA · CRD 333205 · IAPD ↗ · novawavecapital.com · 781-710-3455

$90.0MRegulatory AUM
3Advisory reps
4Employees
0Clients
n/aPlanning clients
1Private funds
2States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

35
May 2026 — NOVAWAVE CAPITAL shrank from 5 to 3 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
35
May 2026 — NOVAWAVE CAPITAL added office(s): 4 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
30
December 2025 — NOVAWAVE CAPITAL moved its main office from PALO ALTO, CA to MENLO PARK, CA.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
27
June 2025 — NOVAWAVE CAPITAL notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
35
June 2025 — NOVAWAVE CAPITAL added office(s): 0 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
50
June 2025 — NOVAWAVE CAPITAL now reports custody of client assets ($9.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
80
February 2025 — NOVAWAVE CAPITAL (PALO ALTO, CA) is newly SEC-registered with $80.0M RAUM and 7 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.