OCEANIQ CAPITAL, LLC
Adviser information for OCEANIQ CAPITAL, LLC last updated from Form ADV on March 9th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 259 | $181.3M |
| Non-Discretionary | 0 | $0 |
| Total | 259 | $181.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 259 | $181.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 259 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 15 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-113911 |
|---|---|
| SEC ERA File Number | 801-113911 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168062 |
| Legal Entity Identifier | None |
Principal Office
275 SHORELINE DRIVEUNIT 120
REDWOOD CITY
CA
United States
BY APPOINTMENT ONLY, BY APPOINTMENT ONLY
Tel: (415) 432-7580, Fax: None
Websites
Chief Compliance Officer
GARY SWIMAN
CHIEF COMPLIANCE OFFICER
275 SHORELINE DRIVE
UNIT 120
REDWOOD CITY
CA
United States
Tel:
646 596 1577
L***@*****************M
(Full email address available in API data)
Regulatory Contact
KAI CHEN
MANAGING DIRECTOR
275 SHORELINE DRIVE
UNIT 120
REDWOOD CITY
CA
United States
Tel:
(415) 432-7580
K**@*****************M
(Full email address available in API data)
Industry Affiliates
| BLUE OCEAN ADVISORS, LLC | Other investment adviser, including financial planners |
| FOREST VC, LLC | Sponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| OCEANIQ PARTNERS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| WISDOMONT ASSET MANAGEMENT LLC | Sponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FOREST MOBILITY FUND LLC | Venture Capital Fund | $5.1M | $0.0M | 29 |
| OCEANIQ PARTNERS FUND II | Venture Capital Fund | $17.6M | $0.0M | 95 |
| OCRYPTOFUND LLC | Private Equity Fund | $23.7M | $0.0M | 3 |
| WISDOMONT BIOTECH FUND LLC | Venture Capital Fund | $0.3M | $0.0M | 14 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CHEN, KAI | Individual | – | MANAGING DIRECTOR | 10/2013 | < 5% |
| JING, YING YING | Individual | – | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | 06/2015 | < 5% |
| OCEANIQ GROUP LLC | Domestic Entity | – | OWNER | 07/2017 | > 75% |
| CHEN, KAI | Individual | OCEANIQ GROUP LLC | MANAGING MEMBER | 07/2017 | > 75% |