Fee-only adviser · Cupertino, CA
Emerald Waves Investments, LLC
Emerald Waves Investments, LLC is a fee-only investment adviser registered with the securities regulator of California, with a mailing address in Cupertino, California (its office is a private residence, so the street address is not published). On its latest Form ADV, filed March 27, 2026, it reports $4.2M in regulatory assets under management, 16 individual clients and 1 employee who gives investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | State-registered: California |
|---|---|
| Firm CRD number | 154095 |
| Office | Cupertino, CA (mailing address; office not published) |
| Phone | (408) 216-0153 |
| Website | www.emeraldwavesinvestments.com |
| Regulatory assets under management | $4.2M |
| Individual clients | 7 non-high-net-worth, 9 high-net-worth |
| Financial planning clients | 0 |
| How it charges | Percentage of assets, Other |
| Services | Financial planning, Portfolio management |
| Employees | 1 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | March 27, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It also charges a percentage of assets managed for ongoing investment management.
- Most of its individual clients are high-net-worth, which on Form ADV means they meet the SEC’s qualified-client or qualified-purchaser test: broadly, more than $1 million managed by the adviser or a net worth above $2 million, with the thresholds indexed for inflation.
- It provides financial planning services, not only portfolio management.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
Other fee-only advisers in Cupertino
- Pruneyard Financial Group, Inc. $91M
- Everest Private Wealth $411M
- Infinity 8 Investments, LLC $124M
- Chinese Abraham Investment Advisors LLC $36M
- The Tilted Funds Group, LLC $811K
See all 6 fee-only advisers in Cupertino →
Nearby
- Sunnyvale 3 firms
- Saratoga 3 firms
- Los Altos 16 firms
- Mountain View 7 firms
- Campbell 5 firms
- Santa Clara 4 firms
- San Jose 25 firms
- Palo Alto 18 firms
Comparing several firms? Tell us what you need and we will suggest fee-only advisers that fit. Work at Emerald Waves Investments, LLC? Update this listing.