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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

FIVE OCEANS ADVISORS

FIVE OCEANS ADVISORS LLC, CRD 308377

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:c3930bbd-cbd1-8495-3f8d-ac84ea2fbe43

Data as of Jan 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 7
On other graphs: 0
Observed: Mar 23, 2020 to Jan 23, 2026
24 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: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $456MItem 5.F on the latest filing (2026-01-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $440M
Private client RAUM: $450MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $152Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 4
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 564
Individual clients: 43
High net worth clients: 74
Custody, client assets: $4.0M
SEC number: 801-118502
CRD: 308377
Filings on the tape: 24
First filed: Mar 23, 2020
Latest filed: Jan 23, 2026
Organised: Limited Liability Company, CA

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
CHRISTOPHER GUILLERMO GIRBES-PIERCE	Certified Financial Planner	SANTA MONICA, CA	6	20	5	no
LESLIE LOIS MALLMAN	Certified Financial Planner	SANTA MONICA, CA	2	20	3	no
JOE PHILIP MOSER	Certified Financial Planner	SANTA MONICA, CA \| Germantown, TN	0	16	4	no

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
Campbell, Marc	Member	D	yes	02/2020	Mar 23, 2020	Oct 10, 2024
GIRBES-PIERCE, CHRISTOPHER, GUILLERMO	Member	D	yes	05/2020	Jun 5, 2020	Oct 10, 2024
RAND, SPENCER, DAVID	CHIEF COMPLIANCE OFFICER	Na	no	06/2021	Jul 29, 2021	Oct 10, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
Tampa	FL	United States	1	no
n/a	n/a	n/a	1	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	Jan 23, 2026	$456M	$440M	8	4	3	n/a	n/a
2024	Feb 21, 2025	$408M	$392M	7	4	3	n/a	n/a
2023	Feb 1, 2024	$496M	$482M	7	6	1	n/a	n/a
2022	Jan 31, 2023	$499M	$485M	6	4	1	n/a	n/a
2021	Feb 11, 2022	$384M	$364M	6	5	1	n/a	n/a
2020	Feb 25, 2021	$314M	$314M	5	5	1	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	1	0	33.3%	0	1	0	2	2

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	$456M	$408M	11.8%	$499M	-3.0%	8	7	3	3

Relationships

Registered with (6)

← JOE PHILIP MOSERAdvisorregistration: current employment
Jan 21, 2026 to presentfactForm ADV
← LESLIE LOIS MALLMANAdvisorregistration: current employment
May 7, 2024 to presentfactForm ADV
← CHRISTOPHER GUILLERMO GIRBES-PIERCEAdvisorregistration: current employment
Sep 4, 2020 to presentfactForm ADV
← Marc CampbellAdvisorregistration: previous registration
Apr 23, 2020 to Sep 11, 2026factForm ADV
← Jesse Thomas PorterAdvisorregistration: previous registration
Nov 3, 2020 to Apr 2, 2024factForm ADV
← Jeffrey Ryan LockeAdvisorregistration: previous registration
May 11, 2021 to Jan 8, 2023factForm ADV

Controls (2)

← GIRBES-PIERCE, CHRISTOPHER, GUILLERMOOwnerMEMBER, ownership code D, individual
Jun 5, 2020 to Oct 10, 2024factForm ADV
← Campbell, MarcOwnerMEMBER, ownership code D, individual
Mar 23, 2020 to Oct 10, 2024factForm ADV

Owns (1)

← RAND, SPENCER, DAVIDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 29, 2021 to Oct 10, 2024factForm ADV

Dated events

Occurred
Sep 11, 2026
Advisor changed firm
Marc Campbell left Five Oceans Advisors for Farther (registered 2026-09-10)
Form ADVobserved 4 days ago
Occurred
Apr 2, 2024
Advisor changed firm
Jesse Thomas Porter left Five Oceans Advisors for Compound Planning, Inc. (registered 2026-01-14)
Form ADVobserved 4 days ago
Occurred
Jan 31, 2023
Regulatory AUM changed
Five Oceans Advisors reported RAUM $499.3M, up 30% from $384.0M (2022-02-11 to 2023-01-31)
Form ADVobserved 4 days ago
$115M
Occurred
Jan 8, 2023
Advisor changed firm
Jeffrey Ryan Locke left Five Oceans Advisors for Awm Capital, Llc (registered 2023-01-26)
Form ADVobserved 4 days ago
Occurred
Feb 25, 2021
Regulatory AUM changed
Five Oceans Advisors reported RAUM $314.3M, up 48% from $213.0M (2020-11-23 to 2021-02-25)
Form ADVobserved 4 days ago
$101M
Occurred
Jun 5, 2020
Control person joined
Guillermo Christopher Girbes-Pierce (Managing Member & Chief Compliance Officer) appeared on Schedule A of Five Oceans Advisors
Form ADVobserved 4 days ago
Occurred
Mar 23, 2020
First Form ADV filing
Five Oceans Advisors filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c3930bbd-cbd1-8495-3f8d-ac84ea2fbe43
First observed: Mar 23, 2020
Last observed: Jan 23, 2026 7 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.

FIVE OCEANS ADVISORS

FIVE OCEANS ADVISORS LLC, CRD 308377

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:c3930bbd-cbd1-8495-3f8d-ac84ea2fbe43

Data as of Jan 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:14 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CHRISTOPHER GUILLERMO GIRBES-PIERCE

Certified Financial Planner

SANTA MONICA, CA

LESLIE LOIS MALLMAN

Certified Financial Planner

SANTA MONICA, CA

JOE PHILIP MOSER

Certified Financial Planner

SANTA MONICA, CA | Germantown, TN

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Campbell, Marc

Member

yes

02/2020

Mar 23, 2020

Oct 10, 2024

GIRBES-PIERCE, CHRISTOPHER, GUILLERMO

Member

yes

05/2020

Jun 5, 2020

Oct 10, 2024

RAND, SPENCER, DAVID

CHIEF COMPLIANCE OFFICER

06/2021

Jul 29, 2021

Oct 10, 2024

City

State

Country

Employees

Also broker-dealer

Tampa

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 23, 2026

$456M

$440M

n/a

2024

Feb 21, 2025

$408M

$392M

n/a

2023

Feb 1, 2024

$496M

$482M

n/a

2022

Jan 31, 2023

$499M

$485M

n/a

2021

Feb 11, 2022

$384M

$364M

n/a

2020

Feb 25, 2021

$314M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

33.3%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$456M

$408M

11.8%

$499M

-3.0%