SourcingSourcing

RED WAVE INVESTMENTS LLC

C49
CRD 153198·SEC 801-119079·DILLSBURG, PA
AUM
$397.7M
$100M-$500M
Est. Revenue
$4.0M
@ 1% on AUM
Est. EBITDA
$1.2M
@ 30% margin
Est. Deal Value
$9.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
RED WAVE INVESTMENTS LLC
CRD
153198
SEC file #
801-119079
EIN
000000000
DBA names
Oars Capital

Economics

AUM
$397.7M
AUM band
$100M-$500M
AUM trajectory
'21'26
$277.2M → $397.7M▲ +43%
Client mix
Individuals Other94
Individuals High Net Worth64

Operations

Employees (total)
3
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'21'26
3 advisors → 1 advisors▼ -67%
Primary office
DILLSBURG PA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
oarscapital.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SMITH, MARC, ANDREW
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
SMITH, MARC, ANDREW
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
OARSCAPITAL.COM
Rdap Domain Creation Date
2020-04-24T13:09:21Z
Rdap Firm Age Years
6
Rdap Firm Age Band
5-10y
Rdap Registrar
Tucows Domains Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001846493
Edgar Registered
Yes
Edgar Filing Count
24
Edgar First Filing Date
2021-02-17
Edgar Last Filing Date
2026-05-08
Edgar 13f Count
22
Edgar 13f Latest AUM Estimate
Filing Date2026-05-08
Accession0001420506-26-000862

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3088
Soi Zip Pct 200k Plus
0.0746
Soi Zip Returns 200k Plus
720
Soi Zip Total AGI
904,288
Fdic Zip Total Deposits
5,227,798,000
Fdic Zip Branch Count
165
Fdic Zip Top Banks
PNC Bank, National Association
Citizens Bank of Pennsylvania

Compliance & brand

Firm Registration Status
active

All other collected signals (27)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
6 NORTH BALTIMORE STREET, SUITE 3DILLSBURG, PA 17019
Business
6 NORTH BALTIMORE STREET, SUITE 3DILLSBURG, PA 17019
Edgar EIN
000000000
Edgar Recent Filings
13F-HR2026-05-08 · 0001420506-26-000862
13F-HR2026-02-06 · 0001420506-26-000192
Fdic Zip Branches Raw
Meridian BankDillsburg, PA
Farmers Trust CompanyDillsburg, PA
Fdic Zip HHI
1466.75
Fdic Zip Top Bank Share Pct
27.67
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-04-24T13:09:21Z
Rdap Domain Last Changed
2026-04-22T19:01:41Z
Rdap Nameservers
Melany.ns.cloudflare.comRandall.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Active
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI26,008
Returns2,430
Stub 2
AGI66,175
Returns1,780
Stub 3
AGI85,221
Returns1,370
Soi Zip Total Business Income
26,658
Soi Zip Total Cap Gains
49,814
Soi Zip Total Dividends
13,074
Soi Zip Total Returns
9,650
Top Owner CRD
4840338
Trust Company Affiliate
No

People (1)

1
SMITH, MARC, ANDREW
IAR · Direct Owner · 87.5%
4840338