{
  "crd_number": 168062,
  "slug": "oceaniq-capital-llc-palo-alto-ca-168062",
  "primary_business_name": "OCEANIQ CAPITAL, LLC",
  "legal_name": "OCEANIQ CAPITAL, LLC",
  "dbas": [],
  "city": "Palo Alto",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "41940",
  "metro": {
    "cbsa_code": "41940",
    "common_name": "San Jose",
    "msa_name": "San Jose-Sunnyvale-Santa Clara, CA",
    "path": "/advisors/ca/san-jose"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2018-08-29",
  "years_registered": 8,
  "period": "2026-10-01",
  "filing_date": "2026-06-24",
  "carried_forward": false,
  "raum_total": 334170960.0,
  "raum_discretionary": 299042430.0,
  "raum_non_discretionary": 35128530.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 7,
  "advisory_employees": 4,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 0.0,
      "count": 0
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 312174997.0,
      "count": 448
    },
    "pooled_investment_vehicles": {
      "raum": 21995963.0,
      "count": 4
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "CA",
    "FL"
  ],
  "websites": [
    "https://oceaniqcapital.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/168062",
  "disclosure_items": [
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "PALO ALTO",
  "url": "https://advisorcensus.com/firm/oceaniq-capital-llc-palo-alto-ca-168062",
  "display_name": "Oceaniq Capital, LLC",
  "summary": "Oceaniq Capital, LLC is an SEC-registered investment advisory firm in Palo Alto, CA, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 24, 2026.",
  "citation": "AdvisorCensus. Oceaniq Capital, LLC (CRD 168062): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Oceaniq Capital, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Oceaniq Capital, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); performance-based fees."
    },
    {
      "q": "How much does Oceaniq Capital, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated June 24, 2026 states: Flat fee: $10,000 to $100,000 (financial planning and consulting services); Flat fee: up to $10,000 a year (Family office services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Oceaniq Capital, LLC located?",
      "a": "Oceaniq Capital, LLC's principal office is in Palo Alto, CA, according to its Form ADV."
    },
    {
      "q": "Is Oceaniq Capital, LLC registered with the SEC or a state?",
      "a": "Oceaniq Capital, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 168062."
    },
    {
      "q": "How much does Oceaniq Capital, LLC manage?",
      "a": "Oceaniq Capital, LLC reports $334,170,960 in regulatory assets under management in its Form ADV filing dated June 24, 2026 (89% discretionary)."
    },
    {
      "q": "How have Oceaniq Capital, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Oceaniq Capital, LLC: Regulatory assets under management: $100,447,285 in the October 2021 data and $334,170,960 in the October 2026 data, up 233%. Total employees: 4 in October 2021 and 7 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Oceaniq Capital, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (448); pooled investment vehicles (other than investment companies and business development companies) (4)."
    },
    {
      "q": "Which custodians does Oceaniq Capital, LLC use?",
      "a": "Oceaniq Capital, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Schwab Advisor Services as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Oceaniq Capital, LLC report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation) and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). 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 SEC record: https://adviserinfo.sec.gov/firm/summary/168062"
    },
    {
      "q": "What changed in Oceaniq Capital, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $212,427,410 to $334,170,960 (+57%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 100447285.0,
      "total_employees": 4,
      "filing_date": "2021-04-12"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 125201605.0,
      "total_employees": 4,
      "filing_date": "2022-05-11"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 114826935.0,
      "total_employees": 4,
      "filing_date": "2023-03-29"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 181307569.0,
      "total_employees": 4,
      "filing_date": "2024-03-09"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 181307569.0,
      "total_employees": 4,
      "filing_date": "2025-03-21"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 334170960.0,
      "total_employees": 7,
      "filing_date": "2026-06-24"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $212,427,410 to $334,170,960 (+57%)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in TX, WA."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Employees performing advisory functions went from 3 to 4.",
        "Regulatory assets under management went from $181,307,569 to $212,427,410 (+17%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated June 24, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Flat fee: $10,000 to $100,000 (financial planning and consulting services)",
      "Flat fee: up to $10,000 a year (Family office services)"
    ],
    "figures": [
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $10,000 to $100,000 (financial planning and consulting services)"
        ],
        "quotes": [
          "Flat fees range from $10,000 to $100,000."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: up to $10,000 a year (Family office services)"
        ],
        "quotes": [
          "Family office services are project based and range up to $10,000 annually."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "flat",
          "amount": null,
          "min": 10000.0,
          "max": 100000.0,
          "period": "one_time",
          "service": "financial planning and consulting services"
        },
        {
          "kind": "flat",
          "amount": null,
          "min": null,
          "max": 10000.0,
          "period": "annual",
          "service": "Family office services"
        }
      ]
    },
    "quotes": [
      "Flat fees range from $10,000 to $100,000.",
      "Family office services are project based and range up to $10,000 annually."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Schwab Advisor Services",
      "name_as_filed": "SCHWAB ADVISOR SERVICES",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/oceaniq-capital-llc-palo-alto-ca-168062.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 448,
      "fewer_than_5": false,
      "raum": 312174997.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 4,
      "fewer_than_5": false,
      "raum": 21995963.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/168062",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}