FIVE OCEANS ADVISORS
FIVE OCEANS ADVISORS LLC Legal Name
Adviser information for FIVE OCEANS ADVISORS last updated from Form ADV on February 1st, 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 | California, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| 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 | 526 | $482.4M |
| Non-Discretionary | 45 | $13.8M |
| Total | 571 | $496.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 87 | $36.3M |
| HNW Individuals | 50 | $459.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| 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 | <5 | $329,269 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-118502 |
|---|---|
| SEC ERA File Number | 801-118502 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 308377 |
| Legal Entity Identifier | None |
Principal Office
2719 4TH STREETSANTA MONICA
CA
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: (310) 507-9180, Fax: N/A
Chief Compliance Officer
SPENCER RAND
DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER
2719 4TH STREET
SANTA MONICA
CA
United States
Tel:
(571) 765-3343
Fax:
N/A
S***********@*********************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 |
|---|---|---|---|---|---|
| Campbell, Marc | Individual | – | MEMBER | 02/2020 | 50-75% |
| GIRBES-PIERCE, CHRISTOPHER, GUILLERMO | Individual | – | MEMBER | 05/2020 | 50-75% |
| RAND, SPENCER, DAVID | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2021 | < 5% |