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 Avenue Capital Advisors, Inc.

Former SEC-registered adviserSanta Monica, CaliforniaCRD 147637SEC 801-78080IAPD
Latest filing Mar 21, 2016
First filing on the tape Feb 8, 2012 · 8 filings
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$362,578 gross assets
History
8 filings and snapshots on the tape
RAUM$111M as of Mar 21, 2016
Feb 8, 2012$54.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 21, 2016
Feb 8, 20120 then
Employees (5.A)2 as of Mar 21, 2016
Mar 27, 20142 then
Private funds1 as of Mar 21, 2016
Mar 27, 20141 then
RAUM -4.5% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 21, 2016; every figure names its basis
RAUM per advisor
$55.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$803,732derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
Custody
$362,578, 2 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
138reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$362,578 for 2 clientsreported
Compensation
% of AUM, fixed, performancereported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      The Natural Gas Energy Fund, LPHedge Fund$362,57825Mar 27, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • Ross Lawrence Goodfriend · Managing Member [Of Ocean Avenue Energy Partners, LLC]control
        since 08/2013 · owns 50% to 75%
      • Adam Jeffrey Jacobs · President/Chief Compliance Officercontrol
        since 07/2008 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • Goodfriend & Jacobs, Certified Public Accountants, P.C.
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 117 to 138
        Mar 30, 2015 to Mar 21, 2016
      • Assets in custody · $352,941 to $362,578
        Mar 30, 2015 to Mar 21, 2016
      • Discretionary RAUM · $116M to $111M
        Mar 30, 2015 to Mar 21, 2016
      • RAUM · $116M to $111M
        Mar 30, 2015 to Mar 21, 2016
      • Assets in custody · $3.5M to $352,941
        Apr 17, 2014 to Mar 30, 2015
      • Discretionary RAUM · $102M to $116M
        Apr 17, 2014 to Mar 30, 2015
      • RAUM · $102M to $116M
        Apr 17, 2014 to Mar 30, 2015
      • Related adviser · true to false
        Mar 27, 2014 to Apr 17, 2014
      • Accounts · 119 to 117
        Oct 18, 2013 to Mar 27, 2014
      • Advisory activities · 3 to 4
        Oct 18, 2013 to Mar 27, 2014
      • Assets in custody · $0 to $3.5M
        Oct 18, 2013 to Mar 27, 2014
      • Private funds · unset to 1
        Oct 18, 2013 to Mar 27, 2014
      • Discretionary RAUM · $72.6M to $102M
        Oct 18, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $29.1M to $0
        Oct 18, 2013 to Mar 27, 2014
      • RAUM · $102M to $102M
        Oct 18, 2013 to Mar 27, 2014
      • Related adviser · false to true
        May 13, 2013 to Oct 18, 2013
      • Accounts · 91 to 119
        Apr 12, 2012 to May 13, 2013
      • Advisory employees · unset to 2.0
        Apr 12, 2012 to May 13, 2013
      • Assets in custody · $33.9M to $0
        Apr 12, 2012 to May 13, 2013
      • Employees · unset to 2.0
        Apr 12, 2012 to May 13, 2013
      • State-registered IARs · 0 to 2
        Apr 12, 2012 to May 13, 2013
      • Discretionary RAUM · $54.0M to $72.6M
        Apr 12, 2012 to May 13, 2013
      • Non-discretionary RAUM · $0 to $29.1M
        Apr 12, 2012 to May 13, 2013
      • RAUM · $54.0M to $102M
        Apr 12, 2012 to May 13, 2013
      Signals
      1 dated events
      • Ocean Avenue Capital Advisors, Inc. filed its initial SEC registration (Form ADV)
        May 13, 2013 · First SEC registration · 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