# Ocean Financial Advisors LLC

> Ocean Financial Advisors LLC is a state-registered investment advisory firm in Miami, FL, registered since 2018, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 17, 2026.

- CRD: 291950
- Filed as: OCEAN FINANCIAL ADVISORS LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Miami, FL
- Filing period: October 2026
- Form ADV filing dated: March 17, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/291950
- AdvisorCensus page: https://advisorcensus.com/firm/ocean-financial-advisors-llc-miami-fl-291950

## Quick answers

**How is Ocean Financial Advisors LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Ocean Financial Advisors LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); commissions.

**Where is Ocean Financial Advisors LLC located?**
Ocean Financial Advisors LLC's principal office is in Miami, FL, according to its Form ADV.

**Is Ocean Financial Advisors LLC registered with the SEC or a state?**
Ocean Financial Advisors LLC is a state-registered investment advisory firm, registered since 2018. Status as filed: APPROVED. CRD 291950.

**How much does Ocean Financial Advisors LLC manage?**
Ocean Financial Advisors LLC reports $4,032,760 in regulatory assets under management in its Form ADV filing dated March 17, 2026 (80% discretionary).

**What types of clients does Ocean Financial Advisors LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (3); other (2).

**Does Ocean Financial Advisors LLC report any disciplinary disclosures?**
Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.A(2) (felony charge in the past ten years), 11.D(2) (another regulator's finding of a violation), and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/291950

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions

### Regulatory assets under management (Item 5.F)
- Total: $4,032,760
- Discretionary: $3,218,222
- Non-discretionary: $814,538

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Not reported | $0 |
| High net worth individuals | 3 | $1,693,427 |
| Banking or thrift institutions | Not reported | $0 |
| Investment companies | Not reported | $0 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | Not reported | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Not reported | $0 |
| Charitable organizations | Not reported | $0 |
| State or municipal government entities (including government pension plans) | Not reported | $0 |
| Other investment advisers | Not reported | $0 |
| Insurance companies | Not reported | $0 |
| Sovereign wealth funds and foreign official institutions | Not reported | $0 |
| Corporations or other businesses not listed above | Not reported | $0 |
| Other | 2 | $2,339,333 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other

### Firm details
- Registered since: 2018 (7 years)
- Employees: 10 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.A(2): In the past ten years, has the firm or an advisory affiliate been charged with a felony?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/291950

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Ocean Financial Advisors LLC (CRD 291950): Form ADV filing data as of October 2026.