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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

OCEAN PARK ASSET MANAGEMENT, LLC

CRD 145634

SANTA MONICA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:05081d2b-9282-5152-041b-b0d23f55be5a

Data as of Jul 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 12
On other graphs: 0
Observed: Mar 30, 2012 to Jul 15, 2026
26 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.01 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=20.0
Regulatory AUM: $3.9BItem 5.F on the latest filing (2026-07-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.9B
Private client RAUM: $24.5MderivedItem 5.D individuals plus high net worth individuals
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $328Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 58
Advisory employees: 7
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 226
Individual clients: 120
High net worth clients: 4
Custody, client assets: $16.8M
SEC number: 801-68554
CIK: 1538052
CRD: 145634
Filings on the tape: 26
First filed: Mar 30, 2012
Latest filed: Jul 15, 2026
Organised: Limited Liability Company, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
TIANA KAYLYN BRENNEISE	n/a	SANTA MONICA, CA	2	12	1	yes
JASON GRANT BUCK	n/a	SANTA MONICA, CA \| NASHVILLE, TN	1	32	5	no
WILLIAM FRANCIS PHILLIPS III	n/a	SOUTH HAVEN, MI \| SANTA MONICA, CA	1	27	4	no
COLIN THEODORE BARBER	n/a	SANTA MONICA, CA	1	25	3	no
Bruk A Campbell	n/a	SANTA MONICA, CA	1	11	3	no
SAMAR FARHANGI	Certified Financial Planner	SANTA MONICA, CA \| Lake Forest, CA	1	18	5	yes
Jacob Helton McCain	n/a	Nashville, TN \| SANTA MONICA, CA	1	11	n/a	no
Conor Gatti Dunn	n/a	SANTA MONICA, CA \| Nashville, TN	1	13	n/a	no
GABRIEL BLAKE BERNARDI	n/a	Nashville, TN \| SANTA MONICA, CA	0	16	2	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Donati, Annalisa	CHIEF FINANCIAL OFFICER	Na	yes	07/2024	Oct 2, 2024	Oct 2, 2024
FREESMAN, VANDA, SARINA	CHIEF MARKETING OFFICER	Na	yes	11/2019	Mar 28, 2023	Oct 2, 2024
HARDER, RYAN, ANDREAS	CHIEF INVESTMENT STRATEGIST	Na	yes	07/2022	Jan 19, 2024	Oct 2, 2024
MORRIS, ERIK, WINFIELD	CHIEF COMPLIANCE OFFICER	Na	yes	09/2023	Nov 4, 2021	Oct 2, 2024
OCEAN PARK ASSET MANAGEMENT, INC	Owner	D	yes	10/2024	Oct 2, 2024	Oct 2, 2024
SCHWEISS, ALBERT, GEORGE	CHIEF EXECUTIVE OFFICER	Na	yes	10/2021	Nov 4, 2021	Oct 2, 2024
SIERRA INVESTMENTS GROUP, LLC	Owner	E	yes	10/2024	Oct 2, 2024	Oct 2, 2024
SIERRA INVESTMENTS HOLDINGS, LLC	Owner	E	yes	10/2024	Oct 2, 2024	Oct 2, 2024
SLEEPER, KENNETH, LEE	MANAGING MEMBER	Na	yes	10/2007	Mar 30, 2012	Oct 2, 2024
SLEEPER, KENNETH, LEE	Owner	D	yes	10/2024	Mar 30, 2012	Oct 2, 2024
STAUBIN, JAMES, EDWIN	CHIEF INVESTMENT OFFICER	Na	yes	07/2022	Jan 19, 2024	Oct 2, 2024
STROMEYER, KRISTINE, JANEL	CHIEF OPERATING OFFICER	Na	yes	01/2016	Mar 31, 2022	Oct 2, 2024
WRIGHT, DAVID, CHANDLER	MANAGING MEMBER	Na	yes	10/2007	Mar 30, 2012	Oct 2, 2024
WRIGHT, DAVID, CHANDLER	Owner	D	yes	10/2024	Mar 30, 2012	Oct 2, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SIERRA INVESTMENT MANAGEMENT, LLC	n/a	Independent wealth	$361M	N	yes	n/a
OCEAN PARK ASSET MANAGEMENT, INC.	n/a	Former SEC adviser	$147M	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Nashville	Tn	United States	0	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$3.9B	$3.9B	58	7	1	n/a	n/a
2024	Mar 31, 2025	$4.9B	$4.9B	61	8	1	n/a	n/a
2023	Jan 19, 2024	$4.8B	$4.8B	39	8	1	n/a	n/a
2022	Mar 28, 2023	$5.6B	$5.6B	8	8	1	n/a	n/a
2021	Mar 31, 2022	$5.2B	$5.2B	6	6	0	n/a	n/a
2020	Mar 15, 2021	$4.0B	$4.0B	2	2	0	n/a	n/a
2019	Mar 23, 2020	$2.3B	$2.3B	2	2	0	n/a	n/a
2018	Mar 25, 2019	$1.6B	$1.6B	2	2	0	n/a	n/a
2017	Mar 27, 2018	$1.5B	$1.5B	2	2	0	n/a	n/a
2016	Mar 7, 2017	$1.1B	$1.1B	2	2	n/a	n/a	n/a
2015	Mar 22, 2016	$748M	$748M	2	2	n/a	n/a	n/a
2014	Mar 30, 2015	$932M	$932M	13	5	n/a	n/a	n/a
2013	Mar 31, 2014	$858M	$858M	9	4	n/a	n/a	n/a
2012	Mar 26, 2013	$1.0B	$1.0B	9	4	n/a	n/a	n/a
2011	Mar 30, 2012	$789M	$789M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	2	-1	16.7%	0	1	0	3	3

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$3.9B	$4.9B	-19.2%	$5.6B	-10.9%	58	61	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OCEAN PARK ASSET MANAGEMENT, INC.	2	Dec 24, 2024	Dec 5, 2024	SANTA MONICA, CA	Channel change	Other	40.0%
SIERRA INVESTMENT MANAGEMENT, LLC	4	Dec 23, 2024	Dec 9, 2024	SANTA MONICA, CA	Channel change	Other	36.4%

Relationships

Affiliated with (4)

→ OCEAN PARK ASSET MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ SIERRA INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← SIERRA INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
← OCEAN PARK ASSET MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV

Registered with (15)

← GABRIEL BLAKE BERNARDIAdvisorregistration: current employment
Nov 19, 2025 to presentfactForm ADV
← Conor Gatti DunnAdvisorregistration: current employment
Aug 26, 2025 to presentfactForm ADV
← Jacob Helton McCainAdvisorregistration: current employment
Jul 9, 2025 to presentfactForm ADV
← DAVID CHANDLER WRIGHTAdvisorregistration: current employment
Dec 21, 2024 to presentfactForm ADV
← SAMAR FARHANGIAdvisorregistration: current employment
Dec 9, 2024 to presentfactForm ADV
← Bruk A CampbellAdvisorregistration: current employment
Dec 5, 2024 to presentfactForm ADV
← KENNETH LEE SLEEPERAdvisorregistration: current employment
Nov 4, 2024 to presentfactForm ADV
← MARSHALL QUANAdvisorregistration: current employment
Nov 4, 2024 to presentfactForm ADV
← JASON GRANT BUCKAdvisorregistration: current employment
Oct 30, 2024 to presentfactForm ADV
← WILLIAM FRANCIS PHILLIPS IIIAdvisorregistration: current employment
Oct 30, 2024 to presentfactForm ADV
← COLIN THEODORE BARBERAdvisorregistration: current employment
Oct 30, 2024 to presentfactForm ADV
← TIANA KAYLYN BRENNEISEAdvisorregistration: current employment
Jan 26, 2024 to presentfactForm ADV
← BENJAMIN JOHN ROMINEAdvisorregistration: previous registration
Jul 24, 2025 to Mar 2, 2026factForm ADV
← THOMAS GIARDINOAdvisorregistration: previous registration
Oct 30, 2024 to Aug 14, 2025factForm ADV
← THERESA FRANCES SPATHAdvisorregistration: previous registration
Dec 26, 2018 to Feb 1, 2021factForm ADV

Moved with (2)

← SIERRA INVESTMENT MANAGEMENT, LLCRegistered adviser4 advisors, team lift out, same day
Dec 23, 2024 to Dec 9, 2024factForm ADV
← OCEAN PARK ASSET MANAGEMENT, INC.Registered adviser2 advisors, team lift out, same day
Dec 24, 2024 to Dec 5, 2024factForm ADV

Controls (11)

← SLEEPER, KENNETH, LEEOwnerOWNER, ownership code D, individual
Mar 30, 2012 to Oct 2, 2024factForm ADV
← WRIGHT, DAVID, CHANDLEROwnerOWNER, ownership code D, individual
Mar 30, 2012 to Oct 2, 2024factForm ADV
← SCHWEISS, ALBERT, GEORGEOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Nov 4, 2021 to Oct 2, 2024factForm ADV
← STAUBIN, JAMES, EDWINOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jan 19, 2024 to Oct 2, 2024factForm ADV
← HARDER, RYAN, ANDREASOwnerCHIEF INVESTMENT STRATEGIST, ownership code NA, individual
Jan 19, 2024 to Oct 2, 2024factForm ADV
← MORRIS, ERIK, WINFIELDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 4, 2021 to Oct 2, 2024factForm ADV
← FREESMAN, VANDA, SARINAOwnerCHIEF MARKETING OFFICER, ownership code NA, individual
Mar 28, 2023 to Oct 2, 2024factForm ADV
← STROMEYER, KRISTINE, JANELOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 31, 2022 to Oct 2, 2024factForm ADV
← Donati, AnnalisaOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Oct 2, 2024 to Oct 2, 2024factForm ADV
← OCEAN PARK ASSET MANAGEMENT, INCOwnerOWNER, ownership code D, domestic entity
Oct 2, 2024 to Oct 2, 2024factForm ADV
← SIERRA INVESTMENTS GROUP, LLCOwnerOWNER, ownership code E, domestic entity
Oct 2, 2024 to Oct 2, 2024factForm ADV

Dated events

Occurred
Mar 2, 2026
Advisor changed firm
Benjamin John Romine left Ocean Park Asset Management, Llc for Good Life Advisors, Llc (registered 2026-05-04)
Form ADVobserved 5 days ago
Occurred
Aug 14, 2025
Advisor changed firm
Thomas Giardino left Ocean Park Asset Management, Llc for 3Edge Asset Management, Lp (registered 2025-09-22)
Form ADVobserved 5 days ago
Occurred
Oct 2, 2024
Control person joined
Annalisa Donati (Chief Financial Officer) appeared on Schedule A of Ocean Park Asset Management, Llc
Form ADVobserved 5 days ago
Occurred
Jan 19, 2024
Control person joined
Edwin James Staubin (Chief Investment Officer) appeared on Schedule A of Ocean Park Asset Management, Llc
Form ADVobserved 5 days ago
Occurred
Jan 19, 2024
Control person joined
Andreas Ryan Harder (Chief Investment Strategist) appeared on Schedule A of Ocean Park Asset Management, Llc
Form ADVobserved 5 days ago
Occurred
Sep 26, 2023
Control person joined
Winfield Erik Morris (Chief Compliance Officer) appeared on Schedule A of Ocean Park Asset Management, Llc
Form ADVobserved 5 days ago
Occurred
Mar 28, 2023
Control person joined
Andrew Douglas Loeffler (Executive Vice President Investment Management) appeared on Schedule A of Ocean Park Asset Management, Llc
Form ADVobserved 5 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
Ocean Park Asset Management, Llc reported RAUM $5.2B, up 29% from $4.0B (2021-11-04 to 2022-03-31)
Form ADVobserved 5 days ago
$1.2B
Occurred
Nov 4, 2021
Control person joined
George Albert Schweiss (Chief Executive Officer) appeared on Schedule A of Ocean Park Asset Management, Llc
Form ADVobserved 5 days ago
Occurred
Mar 15, 2021
Regulatory AUM changed
Ocean Park Asset Management, Llc reported RAUM $4.0B, up 71% from $2.3B (2020-03-23 to 2021-03-15)
Form ADVobserved 5 days ago
$1.7B
Occurred
Mar 23, 2020
Regulatory AUM changed
Ocean Park Asset Management, Llc reported RAUM $2.3B, up 43% from $1.6B (2019-03-25 to 2020-03-23)
Form ADVobserved 5 days ago
$704M
Occurred
Mar 27, 2018
Regulatory AUM changed
Ocean Park Asset Management, Llc reported RAUM $1.5B, up 36% from $1.1B (2017-03-07 to 2018-03-27)
Form ADVobserved 5 days ago
$384M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:05081d2b-9282-5152-041b-b0d23f55be5a
First observed: Mar 30, 2012
Last observed: Jul 15, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

OCEAN PARK ASSET MANAGEMENT, LLC

CRD 145634

SANTA MONICA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:05081d2b-9282-5152-041b-b0d23f55be5a

Data as of Jul 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:47 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

TIANA KAYLYN BRENNEISE

n/a

SANTA MONICA, CA

yes

JASON GRANT BUCK

n/a

SANTA MONICA, CA | NASHVILLE, TN

WILLIAM FRANCIS PHILLIPS III

n/a

SOUTH HAVEN, MI | SANTA MONICA, CA

COLIN THEODORE BARBER

n/a

SANTA MONICA, CA

Bruk A Campbell

n/a

SANTA MONICA, CA

SAMAR FARHANGI

Certified Financial Planner

SANTA MONICA, CA | Lake Forest, CA

yes

Jacob Helton McCain

n/a

Nashville, TN | SANTA MONICA, CA

n/a

Conor Gatti Dunn

n/a

SANTA MONICA, CA | Nashville, TN

n/a

GABRIEL BLAKE BERNARDI

n/a

Nashville, TN | SANTA MONICA, CA

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Donati, Annalisa

CHIEF FINANCIAL OFFICER

yes

07/2024

Oct 2, 2024

FREESMAN, VANDA, SARINA

CHIEF MARKETING OFFICER

yes

11/2019

Mar 28, 2023

Oct 2, 2024

HARDER, RYAN, ANDREAS

CHIEF INVESTMENT STRATEGIST

yes

07/2022

Jan 19, 2024

Oct 2, 2024

MORRIS, ERIK, WINFIELD

CHIEF COMPLIANCE OFFICER

yes

09/2023

Nov 4, 2021

Oct 2, 2024

OCEAN PARK ASSET MANAGEMENT, INC

Owner

yes

10/2024

Oct 2, 2024

SCHWEISS, ALBERT, GEORGE

CHIEF EXECUTIVE OFFICER

yes

10/2021

Nov 4, 2021

Oct 2, 2024

SIERRA INVESTMENTS GROUP, LLC

Owner

yes

10/2024

Oct 2, 2024

SIERRA INVESTMENTS HOLDINGS, LLC

Owner

yes

10/2024

Oct 2, 2024

SLEEPER, KENNETH, LEE

MANAGING MEMBER

yes

10/2007

Mar 30, 2012

Oct 2, 2024

SLEEPER, KENNETH, LEE

Owner

yes

10/2024

Mar 30, 2012

Oct 2, 2024

STAUBIN, JAMES, EDWIN

CHIEF INVESTMENT OFFICER

yes

07/2022

Jan 19, 2024

Oct 2, 2024

STROMEYER, KRISTINE, JANEL

CHIEF OPERATING OFFICER

yes

01/2016

Mar 31, 2022

Oct 2, 2024

WRIGHT, DAVID, CHANDLER

MANAGING MEMBER

yes

10/2007

Mar 30, 2012

Oct 2, 2024

WRIGHT, DAVID, CHANDLER

Owner

yes

10/2024

Mar 30, 2012

Oct 2, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SIERRA INVESTMENT MANAGEMENT, LLC

n/a

Independent wealth

$361M

yes

n/a

OCEAN PARK ASSET MANAGEMENT, INC.

n/a

Former SEC adviser

$147M

yes

n/a

City

State

Country

Employees

Also broker-dealer

Nashville

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$3.9B

n/a

2024

Mar 31, 2025

$4.9B

n/a

2023

Jan 19, 2024

$4.8B

n/a

2022

Mar 28, 2023

$5.6B

n/a

2021

Mar 31, 2022

$5.2B

n/a

2020

Mar 15, 2021

$4.0B

n/a

2019

Mar 23, 2020

$2.3B

n/a

2018

Mar 25, 2019

$1.6B

n/a

2017

Mar 27, 2018

$1.5B

n/a

2016

Mar 7, 2017

$1.1B

n/a

2015

Mar 22, 2016

$748M

n/a

2014

Mar 30, 2015

$932M

n/a

2013

Mar 31, 2014

$858M

n/a

2012

Mar 26, 2013

$1.0B

n/a

2011

Mar 30, 2012

$789M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

16.7%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$3.9B

$4.9B

-19.2%

$5.6B

-10.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OCEAN PARK ASSET MANAGEMENT, INC.

Dec 24, 2024

Dec 5, 2024

SANTA MONICA, CA

Channel change

Other

40.0%

SIERRA INVESTMENT MANAGEMENT, LLC

Dec 23, 2024

Dec 9, 2024

SANTA MONICA, CA

Channel change

Other

36.4%