# Sierra Ocean, LLC

> Sierra Ocean, LLC is an SEC-registered investment advisory firm in Ripon, CA, registered since 2021, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 26, 2026.

- CRD: 313829
- Filed as: SIERRA OCEAN, LLC
- Also doing business as: SIERRA OCEAN CUSTOM WEALTH
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Ripon, CA
- Filing period: October 2026
- Form ADV filing dated: March 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/313829
- AdvisorCensus page: https://advisorcensus.com/firm/sierra-ocean-llc-ripon-ca-313829

## Quick answers

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

**Where is Sierra Ocean, LLC located?**
Sierra Ocean, LLC's principal office is in Ripon, CA, according to its Form ADV.

**Is Sierra Ocean, LLC registered with the SEC or a state?**
Sierra Ocean, LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 313829.

**How much does Sierra Ocean, LLC manage?**
Sierra Ocean, LLC reports $544,561,375 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (38% discretionary).

**How have Sierra Ocean, LLC's assets and staff changed since 2021?**
In the Form ADV data for Sierra Ocean, LLC: Regulatory assets under management: $137,000,000 in the October 2021 data and $544,561,375 in the October 2026 data, up 297%. Total employees: 2 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Sierra Ocean, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (81); high net worth individuals (74); pension and profit sharing plans (but not the plan participants or government pension plans) (26).

**Which custodians does Sierra Ocean, LLC use?**
Sierra Ocean, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Charles Schwab Trust Company of Delaware as custodians holding 10% or more of its separately managed account assets.

**Does Sierra Ocean, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/313829

**What changed in Sierra Ocean, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $446,581,608 to $544,561,375 (+22%). Employees performing advisory functions went from 2 to 3.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 23, 2026)

- Minimum annual fee: $5,000

> Sierra Ocean generally requires a minimum annual fee of $5,000 for investment advisory services. However Sierra Ocean, in its sole discretion, may waive or reduce its minimum annual fee requirement

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Charles Schwab Trust Company of Delaware

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.

### Regulatory assets under management (Item 5.F)
- Total: $544,561,375
- Discretionary: $206,471,349
- Non-discretionary: $338,090,026

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 81 | $40,077,516 |
| High net worth individuals | 74 | $242,165,610 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 26 | $234,590,972 |
| Charitable organizations | Fewer than 5 | $12,763,193 |
| Corporations or other businesses not listed above | Fewer than 5 | $14,964,084 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2021 (5 years)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- sierraocean.com
- Facebook @sierra.ocean
- LinkedIn @sierra-ocean
- X @sierraoceanllc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $137,000,000 | 2 | August 26, 2021 |
| October 2022 | $269,888,295 | 4 | April 15, 2022 |
| October 2023 | $330,161,836 | 3 | June 23, 2023 |
| October 2024 | $395,076,030 | 3 | April 16, 2024 |
| October 2025 | $446,581,608 | 7 | March 19, 2025 |
| October 2026 | $544,561,375 | 3 | March 26, 2026 |

Regulatory assets under management: $137,000,000 in the October 2021 data and $544,561,375 in the October 2026 data, up 297%.
Total employees: 2 in October 2021 and 3 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $446,581,608 to $544,561,375 (+22%).
- Employees performing advisory functions went from 2 to 3.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sierra Ocean, LLC (CRD 313829): Form ADV filing data as of October 2026.