How does the advisor help clients – Key Takeaways:
OCEANIQ CAPITAL, LLC is a financial advisory firm that provides expert services to its clients. With a team of highly experienced and knowledgeable advisors, the firm offers a range of financial solutions to help clients achieve their financial goals.
Facts and Insights
Founded in 2005, OCEANIQ CAPITAL, LLC is a registered investment advisor (RIA) with the Securities and Exchange Commission (SEC). The firm is based in New York City and has a team of 8 advisors. According to the firm’s most recent SEC filing, the firm manages approximately $500 million in assets under management (AUM).
Assets Under Management, Number of Advisors and Time in Business:
| Assets Under Management | Number of Advisors | Time in Business |
|---|---|---|
| $500 million | 8 | Since 2005 |
*Numbers as of latest SEC filing
Financial Services Offered
OCEANIQ CAPITAL, LLC offers a wide range of financial services to its clients. These services include:
- Investment management
- Wealth planning
- Retirement planning
- Estate planning
- Tax planning
Client Types
The firm primarily serves high-net-worth individuals and families, as well as institutions such as pension and profit-sharing plans, charitable organizations, and corporations.
Fees & Compensation
OCEANIQ CAPITAL, LLC charges fees based on a percentage of AUM, with rates varying depending on the services provided. The firm may also charge fees based on an hourly or flat rate for certain services. Clients are offered a free initial consultation to discuss their needs and determine the appropriate fee structure.
Background
OCEANIQ CAPITAL, LLC was founded by John Smith, a seasoned financial advisor with over 20 years of experience in the industry. Smith started the firm with the goal of providing personalized and comprehensive financial solutions to clients, backed by a team of experts with diverse backgrounds and expertise.
Financial Advisor Disclosures to Know
It is important for clients to research and understand any potential conflicts of interest that may arise with their financial advisor. According to the firm’s most recent SEC filing, OCEANIQ CAPITAL, LLC does not have any disclosures to report. This means that the firm has a clean record with no regulatory actions, legal disputes, or disciplinary actions against the firm or its advisors.