Oceaniq Capital, LLC

Registered investment adviser · Palo Alto, CA · CRD #168062

Form ADV data as of 2026-09-01

Regulatory assets

$334.2 million

Total accounts

452

Employees

Disclosure events

Firm details

Website: http://www.oceaniqcapital.com
Telephone: (415) 432-7580
SEC file number: 801-113911
Most recent Form ADV filing: 2026-06-24
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 2 disclosure questions answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$299.0 million
Non-discretionary regulatory assets under management	$35.1 million
Total regulatory assets under management	$334.2 million
Discretionary accounts	425
Non-discretionary accounts	27
Total accounts	452
Regulatory assets under management attributable to non-U.S. persons	$24.4 million

People

Total employees (excluding clerical)	7
Employees performing investment advisory functions (including research)	4
Employees who are registered representatives of a broker-dealer	1
Employees registered as investment adviser representatives with a state	4
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	2
Firms or persons who solicit advisory clients on the firm's behalf	6

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
Client funds and securities held in the firm's custody	$0
Clients for whom the firm has custody	0
A related person has custody of client cash or bank accounts	Yes
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$37.7 million
Clients for whom a related person has custody	158
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)Performance-based fees

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshops

Affiliated related persons

Sponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Recommends brokers or dealers to clients
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
High net worth individuals	448	$312.2 million
Pooled investment vehicles (other than investment companies and BDCs)	4	$22.0 million