SourcingSourcing

NOVAWAVE CAPITAL LLC

B59
CRD 333205·SEC 801-131887·MENLO PARK, CA
AUM
$90.0M
$25M-$100M
Est. Revenue
$900K
@ 1% on AUM
Est. EBITDA
$270K
@ 30% margin
Est. Deal Value
$2.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
NOVAWAVE CAPITAL LLC
CRD
333205
SEC file #
801-131887
EIN
993959152
DBA names
Novawave Capital

Economics

AUM
$90.0M
AUM band
$25M-$100M
AUM trajectory
'25'26
$90.0M → $90.0M▬ 0%
Client mix
Pooled Investment Vehicles1

Operations

Employees (total)
4
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'25'26
5 advisors → 3 advisors▼ -40%
Primary office
MENLO PARK CA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
04/01/2026
ADV-W filed at
—
Website
novawavecapital.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
AURION CAPITAL MANAGEMENT LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
AURION CAPITAL MANAGEMENT LLC
DIALLO, ALI, BADARA
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
NOVAWAVECAPITAL.COM
Rdap Domain Creation Date
2024-07-13T07:42:05Z
Rdap Firm Age Years
2
Rdap Firm Age Band
<5y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002032026
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2024-09-13
Edgar Last Filing Date
2025-09-12
Edgar Form D Count
2
Edgar Form D Offerings
2025-09-122025-09-12 · 0002032026-25-000003
2024-09-132024-09-13 · 0002032026-24-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

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
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
149 COMMONWEALTH DR.SUITE 1090MENLO PARK, CA 94025
Business
149 COMMONWEALTH DR.SUITE 1090MENLO PARK, CA 94025
Edgar EIN
993959152
Edgar Recent Filings
D/A2025-09-12 · 0002032026-25-000003
D2024-09-13 · 0002032026-24-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-07-13T07:42:05Z
Rdap Domain Last Changed
2024-09-09T23:56:57Z
Rdap Nameservers
Ns11.domaincontrol.comNs12.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
No

People (2)

2
DIALLO, ALI, BADARA
Executive Officer · 2.5%
7791636
LABHART, DAVID, JOSEPH
Executive Officer · 2.5%
8158219