Oceaniq Capital, LLC
Firm details
- Headquarters
- Palo Alto, California
- CRD number
- 168062
- Registered since
- August 29, 2018
- Website
- oceaniqcapital.com
- Custodians
- SCHWAB ADVISOR SERVICES
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees, Performance Based Fees
- Client types
- HNWI93.42%
- Pooled Investment Vehicles6.58%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsSelection of Other AdvisersEducational Seminars / Workshops
Firm profile
FINTRXOverview
Oceaniq Capital, LLC is an independent registered investment adviser organized as an LLC and SEC-registered since 2018. The firm functions as a capital allocator for both individuals/families and institutional clients, offering a mix of advisory services that include financial planning, portfolio management for individuals, pooled vehicles and institutions, selection of third‑party advisers, and educational seminars. Oceaniq also serves as a sponsor, general partner and managing member of pooled investment vehicles it advises. Fee arrangements are flexible and include percentage-of-AUM billing, hourly and fixed fees, and performance-based fees. The firm does not identify as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities40%
- Non-Exchange Traded Equities30%
- US Government Bonds14%
- State & Local Bonds5%
- Public Funds/Mutual Funds5%
Owners & executives
3 of 3
Qianqian He
Principal and Chief Executive OfficerCRD 7691359
Kai Chen
Founder and CEOCRD 2916984
Gary Swiman
Chief Compliance OfficerCRD 2637243
Contacts
2 of 2Tsun Tat Wong
Financial Solutions AdvisorCRD 7890784
Ying Ying Jing
Co-Founder and DirectorCRD 4626484
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 30Active vs passive
$32.9M in ETFs
69%
$22.6M
30%
$10.3M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ALPHA ARCHITECT 1-3 MONTH BOX ETF (BOXX) | Alpha Architect | Active | Ultrashort Bond | $7.7M | 65,276 | 23.40% |
Location
Palo Alto, CA
Santa Clara
Location
Palo Alto, CA
Headquartered in Palo Alto, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.
- Metro area
- San Jose-San Francisco-Oakland, CA
- Region
- West
- County
- Santa Clara
- Address
- 1881 Page Mill Rd
- Time zone
- PT (UTC-8)
- Office locations
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