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.
SEC-registered adviser
Ocean Park Asset Management, LLC
Latest filing Jul 15, 2026
First filing on the tape Mar 30, 2012 · 26 filings
SEC status approved since Nov 30, 2007
RAUM
$3.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.6%
$24.5M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$328M
derived; firm RAUM over IAPD count
Employees
58
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$3.9B as of Jul 15, 2026
Mar 30, 2012$789M then
HNW client RAUM$7.2M as of Jul 15, 2026
Mar 31, 2025$22.7M then
State-registered IARs (5.B.3)16 as of Jul 15, 2026
Mar 30, 20120 then
Employees (5.A)58 as of Jul 15, 2026
Mar 26, 20139 then
Private funds: no history
RAUM -19% over the last fiscal year-11% a year over threeIARs 13 to 16
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
- RAUM per advisor
- $328MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $17.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +23%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -27%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- $36.1MreportedItem 5.I
- Custody
- $16.8M, 71 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.9B99%
- Individuals$17.3M0.4%
- High-net-worth individuals$7.2M0.2%
- Pension and profit-sharing plans$179,3800.0%
- Charitable organizations$117,9130.0%
- Individual clients
- 120reported
- HNW clients
- 4reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 226reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $16.8M for 71 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.01 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=20.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Tiana Kaylyn Brenneise | Santa Monica, Ca | Jan 26, 2024 | 12 y | 1 |
| William Francis Phillips III | South Haven, Mi | Oct 30, 2024 | 27 y | 4 |
| Colin Theodore Barber | Santa Monica, Ca | Oct 30, 2024 | 25 y | 3 |
| Jason Grant Buck | Santa Monica, Ca | Oct 30, 2024 | 32 y | 5 |
| Bruk A Campbell | Santa Monica, Ca | Dec 5, 2024 | 11 y | 3 |
| Samar FarhangiCertified Financial Planner | Santa Monica, Ca | Dec 9, 2024 | 18 y | 5 |
| Jacob Helton Mccain | Nashville, Tn | Jul 9, 2025 | 11 y | 0 |
| Conor Gatti Dunn | Santa Monica, Ca | Aug 26, 2025 | 13 y | 0 |
| Gabriel Blake Bernardi | Nashville, Tn | Nov 19, 2025 | 16 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount2 left over 36 months
Left, latest
- Benjamin John Romine to Good Life Advisors, LLCMar 2, 2026 · Other
- Thomas Giardino to 3edge Asset Management, LPAug 14, 2025 · Other
- Theresa Frances Spath to Zuma Wealth LLCFeb 1, 2021 · Other
Joined, latest
- Gabriel Blake Bernardi from Empower Advisory Group, LLCNov 19, 2025 · Other
- David Chandler Wright from California Fund Timing ServiceDec 21, 2024 · Other
- Kenneth Lee Sleeper from California Fund Timing ServiceNov 4, 2024 · Other
- Theresa Frances Spath from Sierra Investment Management, LLCDec 26, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Annalisa Donati · Chief Financial Officercontrolsince 07/2024 · owns less than 5%
- 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 · Managing Membercontrolsince 10/2007 · owns less than 5%
- Edwin James Staubin · Chief Investment Officercontrolsince 07/2022 · owns less than 5%
- Janel Kristine Stromeyer · Chief Operating Officercontrolsince 01/2016 · owns less than 5%
- Chandler David Wright · Managing Membercontrolsince 10/2007 · owns less than 5%
- Lee Kenneth Sleeper · Ownercontrolsince 10/2024 · owns 50% to 75% of Ocean Park Asset Management, Inc
- Chandler David Wright · Ownercontrolsince 10/2024 · owns 50% to 75% of Ocean Park Asset Management, Inc
Entity owners
- Sierra Investments Group, LLC · Ownerdirect · owns 75% or more
- Ocean Park Asset Management, Inc · Ownerindirect · owns 50% to 75% of Sierra Investments Holdings, LLC
- Sierra Investments Holdings, LLC · Ownerindirect · owns 75% or more of Sierra Investments Group, LLC
Related persons
Schedule D 7.A
- Ocean Park Asset Management, Inc.investment advisernRAUM $147M
- Sierra Investment Management, LLCinvestment advisernRAUM $361M
Advisers that list Ocean Park Asset Management, LLC 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 | 12 | 1 | 0 | ||
| Nashville, Tn | 4 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Nashville, TN
What changed
consecutive filings, newest first
- Accounts · 292 to 226Dec 5, 2025 to Mar 31, 2026
- Advisory employees · 8 to 7Dec 5, 2025 to Mar 31, 2026
- BD registered reps · 34 to 20Dec 5, 2025 to Mar 31, 2026
- Corporate clients · 1.0 to unsetDec 5, 2025 to Mar 31, 2026
- HNW clients · 8 to 4Dec 5, 2025 to Mar 31, 2026
- Individual clients · 162 to 120Dec 5, 2025 to Mar 31, 2026
- Pension plan clients · 2 to 1Dec 5, 2025 to Mar 31, 2026
- Assets in custody · $35.9M to $16.8MDec 5, 2025 to Mar 31, 2026
- Employees · 61 to 58Dec 5, 2025 to Mar 31, 2026
- Insurance-licensed employees · 3 to 4Dec 5, 2025 to Mar 31, 2026
- State-registered IARs · 13 to 16Dec 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.9B to $3.9BDec 5, 2025 to Mar 31, 2026
- HNW RAUM · $22.7M to $7.2MDec 5, 2025 to Mar 31, 2026
- Individual RAUM · $22.3M to $17.3MDec 5, 2025 to Mar 31, 2026
- Pension RAUM · $270,607 to $179,380Dec 5, 2025 to Mar 31, 2026
- RAUM · $4.9B to $3.9BDec 5, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 27, 2025
- Accounts · 380 to 292Oct 2, 2024 to Mar 31, 2025
- Advisory employees · 9 to 8Oct 2, 2024 to Mar 31, 2025
- BD registered reps · 31 to 34Oct 2, 2024 to Mar 31, 2025
- HNW clients · 7 to 8Oct 2, 2024 to Mar 31, 2025
- Individual clients · 224 to 162Oct 2, 2024 to Mar 31, 2025
- Assets in custody · $43.6M to $35.9MOct 2, 2024 to Mar 31, 2025
- Employees · 62 to 61Oct 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.7B to $4.9BOct 2, 2024 to Mar 31, 2025
- HNW RAUM · $22.4M to $22.7MOct 2, 2024 to Mar 31, 2025
- Individual RAUM · $32.1M to $22.3MOct 2, 2024 to Mar 31, 2025
- Pension RAUM · $263,167 to $270,607Oct 2, 2024 to Mar 31, 2025
- RAUM · $4.7B to $4.9BOct 2, 2024 to Mar 31, 2025
- Accounts · 8 to 380Sep 6, 2024 to Oct 2, 2024
- Advisory employees · 8 to 9Sep 6, 2024 to Oct 2, 2024
- Advisory activities · 1 to 2Sep 6, 2024 to Oct 2, 2024
- BD registered reps · 22 to 31Sep 6, 2024 to Oct 2, 2024
- Charity clients · unset to 1.0Sep 6, 2024 to Oct 2, 2024
- Corporate clients · unset to 1.0Sep 6, 2024 to Oct 2, 2024
- HNW clients · unset to 7.0Sep 6, 2024 to Oct 2, 2024
- Individual clients · unset to 224.0Sep 6, 2024 to Oct 2, 2024
- Pension plan clients · unset to 2.0Sep 6, 2024 to Oct 2, 2024
- Assets in custody · unset to 43635388.0Sep 6, 2024 to Oct 2, 2024
- Custody of client assets · false to trueSep 6, 2024 to Oct 2, 2024
Signals
12 dated events
- Benjamin John Romine left Ocean Park Asset Management, Llc for Good Life Advisors, Llc (registered 2026-05-04)Mar 2, 2026 · Advisor changed firm · fact
- Thomas Giardino left Ocean Park Asset Management, Llc for 3Edge Asset Management, Lp (registered 2025-09-22)Aug 14, 2025 · Advisor changed firm · fact
- Annalisa Donati (Chief Financial Officer) appeared on Schedule A of Ocean Park Asset Management, LlcOct 2, 2024 · Control person joined · fact
- Edwin James Staubin (Chief Investment Officer) appeared on Schedule A of Ocean Park Asset Management, LlcJan 19, 2024 · Control person joined · fact
- Andreas Ryan Harder (Chief Investment Strategist) appeared on Schedule A of Ocean Park Asset Management, LlcJan 19, 2024 · Control person joined · fact
- Winfield Erik Morris (Chief Compliance Officer) appeared on Schedule A of Ocean Park Asset Management, LlcSep 26, 2023 · Control person joined · fact
- Andrew Douglas Loeffler (Executive Vice President Investment Management) appeared on Schedule A of Ocean Park Asset Management, LlcMar 28, 2023 · Control person joined · fact
- Ocean Park Asset Management, Llc reported RAUM $5.2B, up 29% from $4.0B (2021-11-04 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- George Albert Schweiss (Chief Executive Officer) appeared on Schedule A of Ocean Park Asset Management, LlcNov 4, 2021 · Control person joined · fact
- Ocean Park Asset Management, Llc reported RAUM $4.0B, up 71% from $2.3B (2020-03-23 to 2021-03-15)Mar 15, 2021 · RAUM change · derived
- Ocean Park Asset Management, Llc reported RAUM $2.3B, up 43% from $1.6B (2019-03-25 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- Ocean Park Asset Management, Llc reported RAUM $1.5B, up 36% from $1.1B (2017-03-07 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sierra-mutual-fundsreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/oceanparkreportedpublic record, Form ADV, Sep 17, 2026
- Website
- oceanparkmutualfunds.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 310-452-1887reportedpublic record, Form ADV, Jul 15, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $328Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026