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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

OCEAN PARK ASSET MANAGEMENT, INC.

CRD 105765

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:7c99d6bc-84c8-a2ab-7e59-36213f691bda

Data as of Sep 6, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 11
On other graphs: 0
Observed: Mar 30, 2012 to Sep 6, 2024
23 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $147MItem 5.F on the latest filing (2024-09-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $147M
Private client RAUM: $112MderivedItem 5.D individuals plus high net worth individuals
Private client share: 76%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 48
Advisory employees: 8
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 609
Individual clients: 400
High net worth clients: 15
Custody, client assets: $25.6M
SEC number: 801-35678
CRD: 105765
Filings on the tape: 23
First filed: Mar 30, 2012
Latest filed: Sep 6, 2024
Organised: Corporation, California

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
FREESMAN, VANDA, SARINA	CHIEF MARKETING OFFICER	Na	yes	11/2019	Mar 30, 2023	Sep 6, 2024
HARDER, RYAN, ANDREAS	CHIEF INVESTMENT STRATEGIST	Na	yes	07/2022	Feb 29, 2024	Sep 6, 2024
MORRIS, ERIK, WINFIELD	CHIEF COMPLIANCE OFFICER	Na	yes	09/2023	Oct 29, 2021	Sep 6, 2024
SCHWEISS, ALBERT, GEORGE	CHIEF EXECUTIVE OFFICER	Na	yes	10/2021	Oct 29, 2021	Sep 6, 2024
SLEEPER, KENNETH, LEE	PRESIDENT / DIRECTOR	D	yes	10/1989	Mar 30, 2012	Sep 6, 2024
STAUBIN, JAMES, EDWIN	CHIEF INVESTMENT OFFICER	Na	yes	07/2022	Feb 29, 2024	Sep 6, 2024
STROMEYER, KRISTINE	CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER	Na	yes	01/2016	Mar 31, 2022	Sep 6, 2024
WRIGHT, DAVID, CHANDLER	SENIOR VICE PRESIDENT / DIRECTOR	D	yes	10/1989	Mar 30, 2012	Sep 6, 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
OCEAN PARK ASSET MANAGEMENT, LLC	n/a	Asset manager	$3.9B	N	yes	n/a
SIERRA INVESTMENT MANAGEMENT INC	n/a	Independent wealth	$361M	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
2023	Feb 29, 2024	$147M	$147M	48	8	1	n/a	n/a
2022	Mar 30, 2023	$167M	$167M	8	8	0	n/a	n/a
2021	Mar 31, 2022	$191M	$191M	6	6	0	n/a	n/a
2020	Mar 29, 2021	$186M	$186M	2	2	0	n/a	n/a
2019	Apr 9, 2020	$163M	$163M	2	2	0	n/a	n/a
2018	Mar 27, 2019	$147M	$147M	2	2	0	n/a	n/a
2017	Mar 28, 2018	$162M	$162M	2	2	0	n/a	n/a
2016	Mar 22, 2017	$187M	$187M	2	2	n/a	n/a	n/a
2015	Mar 18, 2016	$214M	$214M	2	2	n/a	n/a	n/a
2014	Mar 30, 2015	$336M	$336M	2	2	n/a	n/a	n/a
2013	Mar 31, 2014	$358M	$358M	2	2	n/a	n/a	n/a
2012	Mar 26, 2013	$308M	$308M	2	2	n/a	n/a	n/a
2011	Mar 30, 2012	$246M	$246M	n/a	n/a	n/a	n/a	n/a

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
2023	$147M	$167M	-11.9%	$186M	-7.6%	48	8	1	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SIERRA INVESTMENT MANAGEMENT, LLC	3	Dec 24, 2024	Nov 4, 2024	SANTA MONICA, CA	Firm absorbed	RIA to RIA	60.0%
OCEAN PARK ASSET MANAGEMENT, LLC	2	Dec 24, 2024	Dec 5, 2024	SANTA MONICA, CA	Channel change	Other	40.0%

Relationships

Affiliated with (4)

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

Controls (8)

← SLEEPER, KENNETH, LEEOwnerPRESIDENT / DIRECTOR, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV
← WRIGHT, DAVID, CHANDLEROwnerSENIOR VICE PRESIDENT / DIRECTOR, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV
← SCHWEISS, ALBERT, GEORGEOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Oct 29, 2021 to presentfactForm ADV
← STAUBIN, JAMES, EDWINOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Feb 29, 2024 to presentfactForm ADV
← HARDER, RYAN, ANDREASOwnerCHIEF INVESTMENT STRATEGIST, ownership code NA, individual
Feb 29, 2024 to presentfactForm ADV
← MORRIS, ERIK, WINFIELDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 29, 2021 to presentfactForm ADV
← FREESMAN, VANDA, SARINAOwnerCHIEF MARKETING OFFICER, ownership code NA, individual
Mar 30, 2023 to presentfactForm ADV
← STROMEYER, KRISTINEOwnerCHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 31, 2022 to presentfactForm ADV

Registered with (5)

← KENNETH LEE SLEEPERAdvisorregistration: previous registration
Jan 1, 1990 to Dec 24, 2024factForm ADV
← DAVID CHANDLER WRIGHTAdvisorregistration: previous registration
Jan 1, 1990 to Dec 24, 2024factForm ADV
← MARSHALL QUANAdvisorregistration: previous registration
Sep 6, 2001 to Dec 24, 2024factForm ADV
← TIANA KAYLYN BRENNEISEAdvisorregistration: previous registration
Jan 26, 2024 to Dec 24, 2024factForm ADV
← Bruk A CampbellAdvisorregistration: previous registration
Apr 4, 2024 to Dec 24, 2024factForm ADV

Moved with (2)

→ OCEAN PARK ASSET MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Dec 24, 2024 to Dec 5, 2024factForm ADV
→ SIERRA INVESTMENT MANAGEMENT, LLCRegistered adviser3 advisors, firm absorbed, same day
Dec 24, 2024 to Nov 4, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 24, 2024
Firm absorbed
Ocean Park Asset Management, Inc.'s advisors moved to Sierra Investment Management, LLC (Santa Monica, CA): 3 of 5 registered, on the same day
Form ADVobserved 6 days ago
3 advisors
Occurred
Dec 24, 2024
Advisor changed firm
Marshall Quan left Ocean Park Asset Management, Inc. for Sierra Investment Management, Llc (registered 2024-11-04)
Form ADVobserved 6 days ago
Occurred
Dec 24, 2024
Advisor changed firm
Kenneth Lee Sleeper left Ocean Park Asset Management, Inc. for Sierra Investment Management, Llc (registered 2003-05-28)
Form ADVobserved 6 days ago
Occurred
Dec 24, 2024
Advisor changed firm
David Chandler Wright left Ocean Park Asset Management, Inc. for Sierra Investment Management, Llc (registered 2003-05-23)
Form ADVobserved 6 days ago
Occurred
Feb 29, 2024
Control person joined
Edwin James Staubin (Chief Investment Officer) appeared on Schedule A of Ocean Park Asset Management, Inc.
Form ADVobserved 6 days ago
Occurred
Feb 29, 2024
Control person joined
Andreas Ryan Harder (Chief Investment Strategist) appeared on Schedule A of Ocean Park Asset Management, Inc.
Form ADVobserved 6 days ago
Occurred
Sep 26, 2023
Control person joined
Winfield Erik Morris (Chief Compliance Officer) appeared on Schedule A of Ocean Park Asset Management, Inc.
Form ADVobserved 6 days ago
Occurred
Mar 30, 2023
Control person joined
Andrew Douglas Loeffler (Executive Vice President Investment Management) appeared on Schedule A of Ocean Park Asset Management, Inc.
Form ADVobserved 6 days ago
Occurred
Mar 31, 2022
Control person joined
Kristine Stromeyer (Chief Operating Officer/Chief Financial Officer) appeared on Schedule A of Ocean Park Asset Management, Inc.
Form ADVobserved 6 days ago
Occurred
Oct 29, 2021
Control person joined
George Albert Schweiss (Chief Executive Officer) appeared on Schedule A of Ocean Park Asset Management, Inc.
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Feb 29, 2024
Ocean Park Asset Management, Inc. reported 12 state-registered advisory representatives, up from 2 (2023-09-26 to 2024-02-29)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7c99d6bc-84c8-a2ab-7e59-36213f691bda
First observed: Mar 30, 2012
Last observed: Sep 6, 2024 24 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, INC.

CRD 105765

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:7c99d6bc-84c8-a2ab-7e59-36213f691bda

Data as of Sep 6, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:58 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FREESMAN, VANDA, SARINA

CHIEF MARKETING OFFICER

yes

11/2019

Mar 30, 2023

Sep 6, 2024

HARDER, RYAN, ANDREAS

CHIEF INVESTMENT STRATEGIST

yes

07/2022

Feb 29, 2024

Sep 6, 2024

MORRIS, ERIK, WINFIELD

CHIEF COMPLIANCE OFFICER

yes

09/2023

Oct 29, 2021

Sep 6, 2024

SCHWEISS, ALBERT, GEORGE

CHIEF EXECUTIVE OFFICER

yes

10/2021

Oct 29, 2021

Sep 6, 2024

SLEEPER, KENNETH, LEE

PRESIDENT / DIRECTOR

yes

10/1989

Mar 30, 2012

Sep 6, 2024

STAUBIN, JAMES, EDWIN

CHIEF INVESTMENT OFFICER

yes

07/2022

Feb 29, 2024

Sep 6, 2024

STROMEYER, KRISTINE

CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER

yes

01/2016

Mar 31, 2022

Sep 6, 2024

WRIGHT, DAVID, CHANDLER

SENIOR VICE PRESIDENT / DIRECTOR

yes

10/1989

Mar 30, 2012

Sep 6, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

OCEAN PARK ASSET MANAGEMENT, LLC

n/a

Asset manager

$3.9B

yes

n/a

SIERRA INVESTMENT MANAGEMENT INC

n/a

Independent wealth

$361M

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

2023

Feb 29, 2024

$147M

n/a

2022

Mar 30, 2023

$167M

n/a

2021

Mar 31, 2022

$191M

n/a

2020

Mar 29, 2021

$186M

n/a

2019

Apr 9, 2020

$163M

n/a

2018

Mar 27, 2019

$147M

n/a

2017

Mar 28, 2018

$162M

n/a

2016

Mar 22, 2017

$187M

n/a

2015

Mar 18, 2016

$214M

n/a

2014

Mar 30, 2015

$336M

n/a

2013

Mar 31, 2014

$358M

n/a

2012

Mar 26, 2013

$308M

n/a

2011

Mar 30, 2012

$246M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$147M

$167M

-11.9%

$186M

-7.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SIERRA INVESTMENT MANAGEMENT, LLC

Dec 24, 2024

Nov 4, 2024

SANTA MONICA, CA

Firm absorbed

RIA to RIA

60.0%

OCEAN PARK ASSET MANAGEMENT, LLC

Dec 24, 2024

Dec 5, 2024

SANTA MONICA, CA

Channel change

Other

40.0%