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William Woolverton

Chief Compliance Officer at Tidal Investments

Officer record from the firm’s Form ADVForm ADV filed 27 March 2026

William Woolverton is Chief Compliance Officer of Tidal Investments LLC, a Milwaukee investment adviser.

Role at Tidal Investments

Title on Schedule A
Chief Compliance Officer
Control
William Woolverton is a control person of Tidal Investments.
Ownership
An individual ownership band is not available in the source record.
Tenure
William Woolverton has held the filed role since March 2023.

The firm

Tidal Investments LLC
Milwaukee, WI

Form ADV filed 27 March 2026

$45.8B AUM343 clients50 advisers5 offices

Career on record

The IAPD individual lookup on 17 October 2026 returned no individual record. This profile uses the firm’s Form ADV officer listing.

Registrations and exams

Individual registration and examination information for William Woolverton is unavailable. An officer title or CRD number does not by itself establish current investment adviser representative registration, and no registration or examination counts are inferred.

Officer record

Full name
William Woolverton
CRD
1494141
Firm
Tidal Investments LLC
Record basis
Form ADV officer listing
Firm bio
tidalfinancialgroup.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Tidal identifies William Woolverton as Chief Compliance Officer and describes his compliance, governance and legal work. The firm lists prior senior roles at Putnam Investments and AllianceBernstein. Official firm biography

Common questions

Where does William Woolverton work?

William Woolverton has been Chief Compliance Officer of Tidal Investments LLC since March 2023, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 27 March 2026

Leadership at Tidal Investments

  • Gavin Filmore
    Chief Executive Officer / Director
  • Ronnie Riven
    Chief Financial Officer
  • Eric Falkeis
    Chief Operating Officer
  • Anthony Broglio
    Director
  • Claire Du Plessis
    Chief Marketing Officer
  • Michael Pellegrino
    General Counsel
  • John Pestrichelli
    Chief Trading Officer
  • Douglas Rescho
    Director
  • Guillermo Trias
    Executive Chairman / Director
  • Michael Venuto
    Chief Investment Officer / Director

Sources

  1. IAPD individual lookup, CRD 1494141. This profile uses the Form ADV officer listing; the individual lookup did not provide a current investment-adviser record.
  2. Form ADV Part 1A, Schedules A and B of Tidal Investments LLC, filed 27 March 2026. Title, control and ownership bands.
  3. Tidal Investments team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with William Woolverton or Tidal Investments LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.