Firm profile

Tidal Investments LLC

MILWAUKEE, WICRD 164201Registration Status: ApprovedEffective since July 20, 2012SEC # 801-76857Latest ADV March 27, 2026

Tidal Investments LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Milwaukee, WI. Its latest Form ADV filing, dated March 27, 2026, reports $45.8B in regulatory assets under management, 207 employees, 5 offices, and 491 accounts.

Assets Under Management
$45.8B
Employees
207
Offices
5 offices
Total Clients
343

Associated firm names

7 names listed
  • FARO ADVISORY
  • TOROSO INVESTMENTS, LLC
  • TOROSO ASSET MANAGEMENT
  • TOROSO ADVISORS

Leadership

5 roles identified
CEOGavin C. Filmore
CCOWilliam H. Woolverton
CFORonnie J. Riven

Advisory services offered

6 types reported
Other advisory services
Pension consulting services
Portfolio management for individuals and small businesses

Fee models offered

2 types reported
Asset based fees
Fixed fees

Offices & Contact

Primary office

MILWAUKEE, Wisconsin, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Wisconsin

MILWAUKEEPrimary office

Florida

PALM BEACH GARDENS

Illinois

OAK BROOK

Nebraska

OMAHA

New York

NEW YORK

5 office records listed · 5 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$45.8Bas of March 27, 2026
Discretionary100.0%
$45.8B
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentInvestment Cos. represent 86.3% of total clients.
Top client categories% of clientsClients
1
Investment Cos.
86.3%
296
2
Pension Plans
3.5%
12
3
Pooled Investment Vehicles
2.9%
10
4
Individuals
2.3%
8
5
Charitable
2.3%
8

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$45.8B
Total Accounts491
10Y AUM Change+$45.5B (+12235.1%)

Private Funds

Private funds reported by Tidal Investments LLC

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees207
Clients per Employee2:1
10Y Employee Change+199 (+2487.5%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
TFG BUYER HOLDINGS, INC.Direct owner · Schedule AInterest in TIDAL INVESTMENTS LLC
75%+
TFG MEZZANINE HOLDINGS, INC.Indirect owner · Schedule BInterest in TFG BUYER HOLDINGS, INC.
75%+
TFG UPPER HOLDINGS, INC.Indirect owner · Schedule BInterest in TFG MEZZANINE HOLDINGS, INC.
75%+
TFG PARENT HOLDINGS, LLCIndirect owner · Schedule BInterest in TFG UPPER HOLDINGS, INC.
75%+
INSIGNIA II-2 AGGREGATOR HOLDINGS, LLCIndirect owner · Schedule BInterest in TFG PARENT HOLDINGS, LLC
25% to < 50%
INSIGNIA CAPITAL PARTNERS III, L.P.Indirect owner · Schedule BInterest in INSIGNIA II-2 AGGREGATOR HOLDINGS, LLC
25% to < 50%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Tidal Investments LLC.

Reported ownership and control details

Form ADV · Filing date 2026-03-27 · Schedules A and B

18 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1MICHAEL JEREMY VENUTOCHIEF INVESTMENT OFFICER / DIRECTORIndividualTIDAL INVESTMENTS LLCLess than 5%Code NAYesCHIEF INVESTMENT OFFICER / DIRECTOR04/2012Schedule APDF page 26
2GAVIN CLARK FILMORECHIEF EXECUTIVE OFFICER / DIRECTORIndividualTIDAL INVESTMENTS LLCLess than 5%Code NAYesCHIEF EXECUTIVE OFFICER / DIRECTOR01/2026Schedule APDF page 26
3WILLIAM HENDERSON WOOLVERTONCHIEF COMPLIANCE OFFICERIndividualTIDAL INVESTMENTS LLCLess than 5%Code NAYesCHIEF COMPLIANCE OFFICER03/2023Schedule APDF page 26
4DOUGLAS CLIFFORD RESCHODIRECTORIndividualTIDAL INVESTMENTS LLCLess than 5%Code NAYesDIRECTOR06/2022Schedule APDF page 26
5GUILLERMO TRIASEXECUTIVE CHAIRMAN / DIRECTORIndividualTIDAL INVESTMENTS LLCLess than 5%Code NAYesEXECUTIVE CHAIRMAN / DIRECTOR01/2026Schedule APDF page 26
6MICHAEL THOMAS PELLEGRINOGENERAL COUNSELIndividualTIDAL INVESTMENTS LLCLess than 5%Code NAYesGENERAL COUNSEL02/2022Schedule APDF page 26
7ERIC WALTER FALKEISCHIEF OPERATING OFFICERIndividualTIDAL INVESTMENTS LLCLess than 5%Code NAYesCHIEF OPERATING OFFICER12/2023Schedule APDF page 26
8RONNIE JACOB RIVENCHIEF FINANCIAL OFFICERIndividualTIDAL INVESTMENTS LLCLess than 5%Code NAYesCHIEF FINANCIAL OFFICER03/2024Schedule APDF page 26
9JOHN ALEXANDER PESTRICHELLICHIEF TRADING OFFICERIndividualTIDAL INVESTMENTS LLCLess than 5%Code NAYesCHIEF TRADING OFFICER01/2025Schedule APDF page 26
10ANTHONY LEE BROGLIODIRECTORIndividualTIDAL INVESTMENTS LLCLess than 5%Code NAYesDIRECTOR08/2025Schedule APDF page 26
11TFG BUYER HOLDINGS, INC.UNIT HOLDERDomestic entityTIDAL INVESTMENTS LLC75% or moreCode EYesUNIT HOLDER08/2025Schedule APDF page 26
12CLAIRE VIVIENNE DU PLESSISCHIEF MARKETING OFFICERIndividualTIDAL INVESTMENTS LLCLess than 5%Code NAYesCHIEF MARKETING OFFICER04/2025Schedule APDF page 26
13TFG MEZZANINE HOLDINGS, INC.UNIT HOLDERDomestic entityTFG BUYER HOLDINGS, INC.75% or moreCode EYesUNIT HOLDER08/2025Schedule BPDF page 27
14TFG UPPER HOLDINGS, INC.UNIT HOLDERDomestic entityTFG MEZZANINE HOLDINGS, INC.75% or moreCode EYesUNIT HOLDER08/2025Schedule BPDF page 27
15TFG PARENT HOLDINGS, LLCUNIT HOLDERDomestic entityTFG UPPER HOLDINGS, INC.75% or moreCode EYesUNIT HOLDER08/2025Schedule BPDF page 27
16INSIGNIA II-2 AGGREGATOR HOLDINGS, LLCUNIT HOLDERDomestic entityTFG PARENT HOLDINGS, LLC25% to less than 50%Code CNoUNIT HOLDER08/2025Schedule BPDF page 27
17INSIGNIA CAPITAL PARTNERS III, L.P.UNIT HOLDERDomestic entityINSIGNIA II-2 AGGREGATOR HOLDINGS, LLC25% to less than 50%Code CNoUNIT HOLDER11/2025Schedule BPDF page 27
18INSIGNIA CAPITAL PARTNERS III GP LLCGENERAL PARTNERDomestic entityINSIGNIA CAPITAL PARTNERS III, L.P.Percentage not specifiedCode FNoGENERAL PARTNER11/2025Schedule BPDF page 27

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 3/27/2026 10:39:35 AM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.