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RIA / WealthAdvisor24 years in industry

Kai Chen

Advisor at OCEANIQ CAPITAL, LLC

PALO ALTO, 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:219d974f-e4ae-97e7-7880-cb5dd2b46a31

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 2
Observed: Aug 20, 2002 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

KAI Chen

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Venture Capitalidentity

KAI Chen

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

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

Current firm: OCEANIQ CAPITAL, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 3, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Nov 3, 2001
First registration: Aug 20, 2002
Dual registered: no
Other names: KAI CHEN|SZUKAI CHEN|SZU-KAI CHEN|KAI CHEN|KAI NMN CHEN
IAPD individual key: 2916984

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OCEANIQ CAPITAL, LLC	Independent wealth	Jan 1, 2026	n/a	yes	PALO ALTO, CA	Current employment
OCEANIQ CAPITAL, LLC	Independent wealth	Oct 3, 2013	Dec 31, 2018	no	PALO ALTO, CA	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Jan 17, 2003	Nov 26, 2013	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA	Previous registration
PERSHING LLC	n/a	Aug 20, 2002	Jan 17, 2003	no	SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CREDIT SUISSE SECURITIES (USA) LLC	OCEANIQ CAPITAL, LLC	Nov 26, 2013	Oct 3, 2013	-54	Firm change after gap	Other
PERSHING LLC	CREDIT SUISSE SECURITIES (USA) LLC	Jan 17, 2003	Jan 17, 2003	0	Bulk transfer	Other

Relationships

Registered with (3)

→ OCEANIQ CAPITAL, LLCRegistered adviserregistration: previous registration
Oct 3, 2013 to Dec 31, 2018factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Jan 17, 2003 to Nov 26, 2013factForm ADV
→ PERSHING LLCRegistered adviserregistration: previous registration
Aug 20, 2002 to Jan 17, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:219d974f-e4ae-97e7-7880-cb5dd2b46a31
First observed: Aug 20, 2002
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed 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.

Kai Chen

Advisor at OCEANIQ CAPITAL, LLC

PALO ALTO, 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:219d974f-e4ae-97e7-7880-cb5dd2b46a31

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:57 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

OCEANIQ CAPITAL, LLC

Independent wealth

Jan 1, 2026

n/a

yes

PALO ALTO, CA

Current employment

OCEANIQ CAPITAL, LLC

Independent wealth

Oct 3, 2013

Dec 31, 2018

PALO ALTO, CA

Previous registration

CREDIT SUISSE SECURITIES (USA) LLC

Former SEC adviser

Jan 17, 2003

Nov 26, 2013

SAN FRANCISCO, CA|SAN FRANCISCO, CA

Previous registration

PERSHING LLC

n/a

Aug 20, 2002

Jan 17, 2003

SAN FRANCISCO, CA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

CREDIT SUISSE SECURITIES (USA) LLC

OCEANIQ CAPITAL, LLC

Nov 26, 2013

Oct 3, 2013

-54

Firm change after gap

Other

PERSHING LLC

CREDIT SUISSE SECURITIES (USA) LLC

Jan 17, 2003

Bulk transfer

Other