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.
|Firm Start Year:||2004|
|Insurance License#:||Life & Health|
|States Licensed in:||CA|
|Number of Years with Current Firm:||10|
|I work with the following types of clients:||Individual Investors, Businesses, Non-Profit Organizations|
|Advisory Services Provided:||Estate Planning & Trusts, 401K Rollovers, Portfolio Management, Wealth Management|
|Investment Types:||Insurance, Annuities, Alternative Investments, Options & Futures, Bonds, Mutual Funds, Stocks|
|I can meet clients in the following ways:||Via Email, Via Phone, At my office, At your home, At your office|
Qualifications & Memberships
|Insurance and Annuity Licenses:||Annuity, Health, Life, Variable Annuity, Long Term Care|
|Financial Organization Memberships:||FINRA (Financial Industry Regulatory Authority|
|Assets Managed by Firm:||$95,000,000.00|
|Registered Investment Advisor:||Yes|
|Investment Advisor Representative:||Yes|
|Compliance Disclosures in Last 5 years:||I have a clean record|
|Criminal Disclosures in Last 5 years:||I have a clean record|
Compensation and Fees
|Minimum Portfolio Size for New Managed Accounts:||$500,000|
|Compensation Methods:||Based on Assets, Flat Fee, Hourly|
|Organization:||Saddleback Memorial Foundation Laguna Hills, CA|
|Position :||Member of Endowment Board & Investment Committee|
|Duration :||March 2011-Currently holding|
|Bachelor of Arts - General Studies with emphasis on Global Economics||
University of Michigan
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
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.
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.
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 clients 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.
|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|
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