OLIVER CAPITAL MANAGEMENT
OLIVER CAPITAL MANAGEMENT, INC. Legal Name
Adviser information for OLIVER CAPITAL MANAGEMENT last updated from Form ADV on February 29th, 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 | Washington, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 8 | $52.4M |
| Non-Discretionary | 1,621 | $312.3M |
| Total | 1,629 | $364.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 356 | $88.9M |
| HNW Individuals | 84 | $206.8M |
| 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 | 18 | $65.7M |
| 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 | 29 | $3.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-67157 |
|---|---|
| SEC ERA File Number | 801-67157 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 127606 |
| Legal Entity Identifier | None |
Principal Office
601 UNION STREETSUITE 3010
SEATTLE
WA
United States
Monday - Friday, 6AM TO 5PM
Tel: 206-775-7500, Fax: 206-775-7300
Websites
Chief Compliance Officer
MARK K. OLIVER
PRESIDENT
601 UNION STREET
SUITE 3010
SEATTLE
WA
United States
Tel:
206-775-7500
Fax:
206-775-7300
M**@****************M
(Full email address available in API data)
Regulatory Contact
JOHN CARR
ATTORNEY
6650 SW REDWOOD LANE
SUITE 220
PORTLAND
OR
United States
Tel:
503-635-5244
Fax:
503-635-2955
J****@******************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 |
|---|---|---|---|---|---|
| OLIVER, MARK, KENNETH | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 07/2003 | > 75% |