DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Ocean Park Asset Management, Inc.
Latest filing Sep 6, 2024
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$147M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$112M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
48
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$147M as of Feb 29, 2024
Mar 30, 2012$246M then
HNW client RAUM$36.4M as of Feb 29, 2024
Mar 28, 2018$34.2M then
State-registered IARs (5.B.3)12 as of Feb 29, 2024
Mar 26, 20132 then
Employees (5.A)48 as of Feb 29, 2024
Mar 26, 20132 then
Private funds: no history
RAUM -12% over the last fiscal year-7.6% a year over threeIARs 2 to 12offices 0 to 1
Practice profile
derived from the filing of Sep 6, 2024; every figure names its basis
- RAUM per advisor
- $12.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $241,068derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +500%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -33%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $115MreportedItem 5.I
- Custody
- $25.6M, 90 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$75.4M51%
- High-net-worth individuals$36.4M25%
- Other investment advisers$31.4M21%
- Pension and profit-sharing plans$2.0M1.4%
- Charitable organizations$1.1M0.8%
- Corporations and businesses$521,5850.4%
- Individual clients
- 400reported
- HNW clients
- 15reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 609reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $25.6M for 90 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- David Chandler Wright to Sierra Investment Management, LLCDec 24, 2024 · Other
- Kenneth Lee Sleeper to Sierra Investment Management, LLCDec 24, 2024 · Other
- Marshall Quan to Sierra Investment Management, LLCDec 24, 2024 · RIA to RIA
Joined, latest
- Bruk A Campbell from Sierra Investment Management, LLCApr 4, 2024 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Sierra Investment Management, LLCDec 24, 2024 · Santa Monica, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Sarina Vanda Freesman · Chief Marketing Officercontrolsince 11/2019 · owns less than 5%
- Andreas Ryan Harder · Chief Investment Strategistcontrolsince 07/2022 · owns less than 5%
- Winfield Erik Morris · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- George Albert Schweiss · Chief Executive Officercontrolsince 10/2021 · owns less than 5%
- Lee Kenneth Sleeper · President / Directorcontrolsince 10/1989 · owns 50% to 75%
- Edwin James Staubin · Chief Investment Officercontrolsince 07/2022 · owns less than 5%
- Kristine Stromeyer · Chief Operating Officer/Chief Financial Officercontrolsince 01/2016 · owns less than 5%
- Chandler David Wright · Senior Vice President / Directorcontrolsince 10/1989 · owns 50% to 75%
Related persons
Schedule D 7.A
- Ocean Park Asset Management, LLCinvestment advisernRAUM $3.9B
- Sierra Investment Management, LLCinvestment advisernRAUM $361M
Advisers that list Ocean Park Asset Management, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Santa Monica, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Nashville, TN
What changed
consecutive filings, newest first
- Accounts · 853 to 609Sep 26, 2023 to Feb 29, 2024
- BD registered reps · 0 to 25Sep 26, 2023 to Feb 29, 2024
- Charity clients · 3.0 to unsetSep 26, 2023 to Feb 29, 2024
- Corporate clients · 3.0 to unsetSep 26, 2023 to Feb 29, 2024
- HNW clients · 18 to 15Sep 26, 2023 to Feb 29, 2024
- Individual clients · 601 to 400Sep 26, 2023 to Feb 29, 2024
- Pension plan clients · 8 to 6Sep 26, 2023 to Feb 29, 2024
- Assets in custody · unset to 25615139.0Sep 26, 2023 to Feb 29, 2024
- Custody of client assets · false to trueSep 26, 2023 to Feb 29, 2024
- Employees · 8 to 48Sep 26, 2023 to Feb 29, 2024
- Insurance-licensed employees · 0 to 10Sep 26, 2023 to Feb 29, 2024
- State-registered IARs · 2 to 12Sep 26, 2023 to Feb 29, 2024
- Other offices · 0 to 1Sep 26, 2023 to Feb 29, 2024
- Discretionary RAUM · $167M to $147MSep 26, 2023 to Feb 29, 2024
- HNW RAUM · $41.3M to $36.4MSep 26, 2023 to Feb 29, 2024
- Individual RAUM · $119M to $75.4MSep 26, 2023 to Feb 29, 2024
- Pension RAUM · $2.3M to $2.0MSep 26, 2023 to Feb 29, 2024
- RAUM · $167M to $147MSep 26, 2023 to Feb 29, 2024
- Wrap assets (manager) · unset to 0.0Sep 26, 2023 to Feb 29, 2024
- Wrap assets (sponsor) · unset to 0.0Sep 26, 2023 to Feb 29, 2024
- Accounts · 905 to 853Jul 20, 2022 to Mar 30, 2023
- Advisory employees · 6 to 8Jul 20, 2022 to Mar 30, 2023
- Corporate clients · 5 to 3Jul 20, 2022 to Mar 30, 2023
- HNW clients · 22 to 18Jul 20, 2022 to Mar 30, 2023
- Individual clients · 625 to 601Jul 20, 2022 to Mar 30, 2023
- Pension plan clients · 12 to 8Jul 20, 2022 to Mar 30, 2023
- Employees · 6 to 8Jul 20, 2022 to Mar 30, 2023
- Discretionary RAUM · $191M to $167MJul 20, 2022 to Mar 30, 2023
- HNW RAUM · $40.3M to $41.3MJul 20, 2022 to Mar 30, 2023
- Individual RAUM · $130M to $119MJul 20, 2022 to Mar 30, 2023
- Pension RAUM · $3.3M to $2.3MJul 20, 2022 to Mar 30, 2023
- RAUM · $191M to $167MJul 20, 2022 to Mar 30, 2023
- Accounts · 903 to 905Nov 4, 2021 to Mar 31, 2022
- Advisory employees · 2 to 6Nov 4, 2021 to Mar 31, 2022
- Corporate clients · 3 to 5Nov 4, 2021 to Mar 31, 2022
- Individual clients · 636 to 625Nov 4, 2021 to Mar 31, 2022
- Pension plan clients · 11 to 12Nov 4, 2021 to Mar 31, 2022
- Employees · 2 to 6Nov 4, 2021 to Mar 31, 2022
- Discretionary RAUM · $186M to $191MNov 4, 2021 to Mar 31, 2022
- HNW RAUM · $57.1M to $40.3MNov 4, 2021 to Mar 31, 2022
Signals
11 dated events
- Marshall Quan left Ocean Park Asset Management, Inc. for Sierra Investment Management, Llc (registered 2024-11-04)Dec 24, 2024 · Advisor changed firm · fact
- Kenneth Lee Sleeper left Ocean Park Asset Management, Inc. for Sierra Investment Management, Llc (registered 2003-05-28)Dec 24, 2024 · Advisor changed firm · fact
- David Chandler Wright left Ocean Park Asset Management, Inc. for Sierra Investment Management, Llc (registered 2003-05-23)Dec 24, 2024 · Advisor changed firm · fact
- Ocean Park Asset Management, Inc.'s advisors moved to Sierra Investment Management, LLC (Santa Monica, CA): 3 of 5 registered, on the same dayDec 24, 2024 · Firm absorbed (people side) · derived
- Ocean Park Asset Management, Inc. reported 12 state-registered advisory representatives, up from 2 (2023-09-26 to 2024-02-29)Feb 29, 2024 · Advisor headcount change · derived
- Edwin James Staubin (Chief Investment Officer) appeared on Schedule A of Ocean Park Asset Management, Inc.Feb 29, 2024 · Control person joined · fact
- Andreas Ryan Harder (Chief Investment Strategist) appeared on Schedule A of Ocean Park Asset Management, Inc.Feb 29, 2024 · Control person joined · fact
- Winfield Erik Morris (Chief Compliance Officer) appeared on Schedule A of Ocean Park Asset Management, Inc.Sep 26, 2023 · Control person joined · fact
- Andrew Douglas Loeffler (Executive Vice President Investment Management) appeared on Schedule A of Ocean Park Asset Management, Inc.Mar 30, 2023 · Control person joined · fact
- Kristine Stromeyer (Chief Operating Officer/Chief Financial Officer) appeared on Schedule A of Ocean Park Asset Management, Inc.Mar 31, 2022 · Control person joined · fact
- George Albert Schweiss (Chief Executive Officer) appeared on Schedule A of Ocean Park Asset Management, Inc.Oct 29, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026