{ "crd_number": 342017, "slug": "open-water-advisory-partners-yucaipa-ca-342017", "primary_business_name": "OPEN WATER ADVISORY PARTNERS", "legal_name": "OPEN WATER ADVISORY PARTNERS LLC", "dbas": [], "city": "Yucaipa", "state": "CA", "country": "United States", "cbsa_code": "40140", "metro": { "cbsa_code": "40140", "common_name": "Riverside", "msa_name": "Riverside-San Bernardino-Ontario, CA", "path": "/advisors/ca/riverside" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2026-08-05", "years_registered": 0, "period": "2026-10-01", "filing_date": "2026-08-14", "carried_forward": false, "raum_total": 0.0, "raum_discretionary": 0.0, "raum_non_discretionary": 0.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 2, "advisory_employees": 2, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 0.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 0.0, "count": null, "fewer_than_5": true }, "corporations_other_businesses": { "raum": 0.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 4, "states_registered": [ "CA" ], "websites": [ "https://linkedin.com/in/anna-marie-lovell-6702a72b2", "https://linkedin.com/in/sterling-hirsch-b57a8742" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/342017", "disclosure_items": [ { "item": "11.D(1)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?" }, { "item": "11.D(2)", "question": "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?" }, { "item": "11.D(4)", "question": "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?" }, { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" } ], "city_as_filed": "YUCAIPA", "url": "https://advisorcensus.com/firm/open-water-advisory-partners-yucaipa-ca-342017", "display_name": "Open Water Advisory Partners", "summary": "Open Water Advisory Partners is a state-registered investment advisory firm in Yucaipa, CA, registered since 2026, reporting under $25 million in regulatory assets under management in its Form ADV filing dated August 14, 2026.", "citation": "AdvisorCensus. Open Water Advisory Partners (CRD 342017): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Open Water Advisory Partners compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Open Water Advisory Partners reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is Open Water Advisory Partners located?", "a": "Open Water Advisory Partners' principal office is in Yucaipa, CA, according to its Form ADV." }, { "q": "Is Open Water Advisory Partners registered with the SEC or a state?", "a": "Open Water Advisory Partners is a state-registered investment advisory firm, registered since 2026. Status as filed: APPROVED. CRD 342017." }, { "q": "How much does Open Water Advisory Partners manage?", "a": "Open Water Advisory Partners reports $0 in regulatory assets under management in its Form ADV filing dated August 14, 2026." }, { "q": "Does Open Water Advisory Partners report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/342017" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/open-water-advisory-partners-yucaipa-ca-342017.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": null, "fewer_than_5": true, "raum": 0.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": null, "fewer_than_5": true, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": null, "fewer_than_5": true, "raum": 0.0 } ], "disclosure_line": "Reports 4 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/342017", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }