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.
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SEC-registered adviser
O•••• P••• A•••••••• L••
Latest filing Aug 11, 2026
First filing on the tape Jan 22, 2026 · 6 filings
SEC status approved since Jan 26, 2026
RAUM
$560M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$541M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$93.3M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$560M as of Aug 11, 2026
Jan 22, 2026$0 then
HNW client RAUM$513M as of Aug 11, 2026
May 20, 2026$513M then
State-registered IARs (5.B.3)6 as of Aug 11, 2026
Jan 22, 20265 then
Employees (5.A)6 as of Aug 11, 2026
Jan 22, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 11, 2026; every figure names its basis
Archetypes, each a printed rule
- i••••••••• boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $93.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $264,675derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$513M92%
- Individuals$28.3M5.1%
- Charitable organizations$12.2M2.2%
- Corporations and businesses$6.0M1.1%
- Individual clients
- 55reported
- HNW clients
- 135reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 2,114reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• S•••••• E••••Certified Financial Planner | Manhattan Beach, Ca | Apr 29, 2026 | 11 y | 2 |
| T••• C••••• B•••••Certified Financial Planner | Manhattan Beach, Ca | Apr 29, 2026 | 27 y | 6 |
| M••• K••• B••••• | Manhattan Beach, Ca | Apr 29, 2026 | 11 y | 2 |
| R••• A•••••••• K••••Certified Financial Planner | Manhattan Beach, Ca | Apr 30, 2026 | 12 y | 5 |
| R•••• J•••••• V•• V•••••••••Certified Financial Planner | Manhattan Beach, Ca | Apr 30, 2026 | 11 y | 3 |
| K•••• M••••••• V••• | Manhattan Beach, Ca | May 28, 2026 | 10 y | 1 |
Advisor movement
1 left, 7 joined in 12 months
net +6 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- R•••• J•••••• V•• V••••••••• to M•••••• I•••••••••Feb 17, 2026 · Other
Joined, latest
- K•••• M••••••• V••• from S•••••••• A••••••• L••May 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- R•••• J•••••• V•• V••••••••• from M•••••• I•••••••••Apr 30, 2026 · RIA to a newly registered adviser
- M••• K••• B••••• from M•••••• I•••••••••Feb 10, 2026 · RIA to a newly registered adviser
- R••• A•••••••• K•••• from M•••••• I•••••••••Feb 10, 2026 · RIA to a newly registered adviser
- R•••• J•••••• V•• V••••••••• from M•••••• I•••••••••Feb 10, 2026 · RIA to a newly registered adviser
- M•••••• S•••••• E•••• from M•••••• I•••••••••Feb 10, 2026 · RIA to a newly registered adviser
- T••• C••••• B••••• from M•••••• I•••••••••Feb 10, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from M•••••• I•••••••••May 1, 2026 · Manhattan Beach, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• T•••• C••••• · Managing Member And Principalcontrolsince 01/2021 · owns 75% or more
- V•• V••••••••• R•••• · Chief Compliance Officercontrolsince 11/2025 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Manhattan Beach, Ca · principal | 6 | 6 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6May 20, 2026 to Jun 2, 2026
- Employees · 5 to 6May 20, 2026 to Jun 2, 2026
- State-registered IARs · 5 to 6May 20, 2026 to Jun 2, 2026
- Accounts · 0 to 2,114Apr 6, 2026 to May 20, 2026
- Charity clients · unset to 2.0Apr 6, 2026 to May 20, 2026
- Corporate clients · unset to 4.0Apr 6, 2026 to May 20, 2026
- HNW clients · unset to 135.0Apr 6, 2026 to May 20, 2026
- Individual clients · unset to 55.0Apr 6, 2026 to May 20, 2026
- Pension plan clients · unset to 0.0Apr 6, 2026 to May 20, 2026
- Pooled vehicle clients · unset to 0.0Apr 6, 2026 to May 20, 2026
- Discretionary RAUM · $0 to $560MApr 6, 2026 to May 20, 2026
- HNW RAUM · unset to 513003285.0Apr 6, 2026 to May 20, 2026
- Individual RAUM · unset to 28345654.0Apr 6, 2026 to May 20, 2026
- Pension RAUM · unset to 0.0Apr 6, 2026 to May 20, 2026
- Pooled vehicle RAUM · unset to 0.0Apr 6, 2026 to May 20, 2026
- RAUM · $0 to $560MApr 6, 2026 to May 20, 2026
- Other offices · 0 to 1Jan 22, 2026 to Feb 10, 2026
Signals
2 dated events
- 4 advisors left M•••••• I••••••••• (Manhattan Beach, CA) for O•••• P••• A•••••••• L•• on the same dayMay 1, 2026 · Team lift-out · derived
- R•••• J•••••• V•• V••••••••• left O•••• P••• A•••••••• L•• for M•••••• I••••••••• (registered 2026-02-26)Feb 17, 2026 · Advisor changed firm · fact
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
- Business email
- t•••@o••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 424-355-0232reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/oceanpathadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- o••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310 302 7685reportedpublic record, Form ADV, Aug 11, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $93.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026