Simon brings 20 years of investment experience to his role as Founder and Chief Executive Officer of TideRock Financial. He specializes in advising wealthy families and high-net worth individuals to help them achieve their long-term investment goals, including estate and heritage planning.
As a former Wall Street trader, Simon utilizes his unique investment insight to create globally diversified, tax-efficient portfolios based on solid academic research and an in-depth analysis of economic, political, and social developments around the world. His clients include current and former professionals at the top of their respective fields, including CEOs, entrepreneurs, hedge fund managers, and attorneys.
Simon currently serves on the Board of Directors of Saddleback Memorial Foundation. As a member of the Board's Investment Committee, he helps one of Orange County's leading non-profit hospital systems to invest its substantial portfolio and further its mission.
Prior to becoming an independent wealth manager, Simon was the Founder and President of his own options trading company on the floor of the American Stock Exchange in New York. There he generated significant profits utilizing risk-averse trading strategies, eventually expanding his company to include traders on the floors of the American Stock Exchange, Chicago Board of Trade and Philadelphia Stock Exchange.
Born and raised in New York City, Simon holds a B.A. degree from the University of Michigan with an emphasis on global economics.
TideRock Financial is an independent investment firm providing comprehensive wealth management services to high-net-worth individuals and families, as well as investment management for qualified company 401(k) plans.
Our mission is to give our clients the kind of financial peace of mind that can only come with a strong long-term plan and a trusted advisor. We help our clients find ways to minimize the time they spend on financial and tax matters so they can focus on the things that matter most in their lives.
TideRock Financial is differentiated from other investment advisory firms in its fee-based approach that puts its clients' interests in the forefront of every investment decision. We act as your fiduciary, which means we do not receive any incentives to invest in one financial product or fund over another.
Our investment strategy is founded on more than 20 years of trading and investment experience. By accessing institutional-level funds and alternative investment vehicles that are not available to the general public, TideRock Financial creates highly-customized portfolios that are designed to minimize risk and maximize cash flow.
General Information |
| Firm Start Year: | 2004 | |
| No. of Employees: | 2-4 | |
| Insurance License#: | Life & Health |
| States Licensed in: | CA |
| Number of Years with Current Firm: | 10 |
| Work with the following types of clients: | Individual Investors, Businesses, Non-Profit Organizations |
| Advisory Services Provided: | Portfolio Management, 401K Rollovers, Wealth Management, Estate Planning & Trusts |
Services |
| Investment Types: | Options & Futures, Alternative Investments, Mutual Funds, Bonds, Stocks, Annuities, Insurance |
| Can meet clients in the following ways: | Your Home, Our Office, Email, Your Office, Phone |
Qualifications & Memberships |
| Insurance and Annuity Licenses: | Annuity, Health, Variable Annuity, Long Term Care, Life |
| Financial Organization Memberships: | FINRA (Financial Industry Regulatory Authority |
Firm Information |
| Assets Managed by Firm: | $95,000,000.00 |
Compensation and Fees |
| Fee Structure: | Fee-Based |
| Minimum Portfolio Size for New Managed Accounts: | $500,000 |
| Compensation Methods: | Based on Assets, Hourly, Flat Fee |
Board Positions |
| Organization : | Saddleback Memorial Foundation, Laguna Hills, CA |
| Position : | Member of Endowment Board & Investment Committee |
| Duration : | March 2011-Present |
Education |
| Bachelor of Arts - General Studies with emphasis on Global Economics | University of Michigan
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Financial Services |
| Portfolio Management
We would welcome the opportunity to provide a complimentary analysis of what your risk-adjusted, after-tax investment returns have been versus what our clients have enjoyed. Even if you have been relatively happy with your investments in recent years, we believe it would be well worth a few minutes of your time to ensure that not only are you not leaving money on the table in terms of excessive fund fees and tax inefficiencies, but that you are also taking the appropriate amount of risk for your individual circumstances. |
| 401K Rollovers
TideRock partners with third party providers of 401K and defined benefit plans for companies that emphasize: low cost, maximum fiduciary responsibility, pre-configured efficient portfolios, and transparent cost structures. |
| Estate Planning & Trusts
One of the most important concerns for our client's investment goals is planning for the future of their family. At TideRock Financial, we work closely with our clients to understand and help them achieve these goals for generations to come. We spend a great deal of time educating our clients, with the help of estate planning attorneys, to create estate plans that are intended to nurture not spoil children, last for generations, and diminish potential issues such as divorce and legal liabilities. |
| Investment Advice & Management
TideRock also offers consultation services regarding specific investment and financial matters pertinent to each of its clients. These matters may include advice on isolated areas of concern that go beyond the framework of typical portfolio management and financial planning. TideRock conducts due diligence on private equity, hedge fund,private placement and real estate investments. |
| Wealth Management
TideRock Financial's investment philosophy is based on long-term strategies incorporating the principles of modern portfolio theory. The company focuses on developing diversified model portfolios, principally through the use of low-cost, low-turnover funds, many of which are only available to institutional investors and clients of a network of selected investment advisors. |
Disclosures |
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WiserAdvisor provides referrals to financial professionals. WiserAdvisor is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest. |
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Additional Detailed Disclosures |
Registered Investment Advisor:
Yes
Registered Representative:
Yes
Investment Advisor Representative:
Yes
| Mon. | 9:00 AM - 5:00 PM |
| Tue. | 9:00 AM - 5:00 PM |
| Wed. | 9:00 AM - 5:00 PM |
| Thu. | 9:00 AM - 5:00 PM |
| Fri. | 9:00 AM - 5:00 PM |
Orange County Top Wealth Managers
(04/02/2013)
Highest in Service & Overall Satisfaction
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