OCEANIS FINANCIAL ADVISORS, INC.
Adviser information for OCEANIS FINANCIAL ADVISORS, INC. last updated from Form ADV on March 19th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 70 | $200.7M |
| Non-Discretionary | 0 | $0 |
| Total | 70 | $200.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 28 | $3.5M |
| HNW Individuals | 17 | $64.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 25 | $132.3M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $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 | 89 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-118279 |
|---|---|
| SEC ERA File Number | 801-118279 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 307787 |
| Legal Entity Identifier | None |
Principal Office
40 SW 13TH STREETSUITE 605
MIAMI
FL
United States
Monday - Friday, BY APPOINTMENT
Tel: 336-655-1400, Fax: None
Chief Compliance Officer
MICHELE PARADISO
40 SW 13TH STREET
SUITE 605
MIAMI
FL
United States
Tel:
(786) 838-8654
M********@************M
(Full email address available in API data)
Regulatory Contact
ALBERTO OTERO
PRESIDENT
40 SW 13TH STREET
SUITE 605
MIAMI
FL
United States
Tel:
(366) 655-1400
A******@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OTERO, ALBERTO, NMI | Individual | – | PRESIDENT | 04/2019 | 50-75% |
| PARADISO, MICHELE | Individual | – | SHAREHOLDER AND CHIEF COMPLIANCE OFFICER | 01/2020 | 25-50% |