Private Ocean is an investment advisor in San Rafael with $2.83 bn assets under management.
Company profile
Website
Employees
Incorporated
Location
Fiscal year end
SEC CIK
IRS number
205742052
SEC advisor number
801-20857
FINRA CRD number
110666
AUM ?
$2.83 bn
(as of 3 Nov 22)
Accounts
3,655
(as of 3 Nov 22)
Employees
41
(23 investment advisory or research)
Address
Private Ocean
100 SMITH RANCH ROAD
SUITE 300
SAN RAFAEL
CA 94903
100 SMITH RANCH ROAD
SUITE 300
SAN RAFAEL
CA 94903
Office hours
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Phone
415-526-2900
Brochures
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
Friedman, Gregory, Hugh | Chief Strategy Officer | 01/2022 | < 5% |
Sontag, Howard, Vaughn | SR. Managing Director | 01/2022 | < 5% |
Schneider, Brett, Ronald | Director | 01/2022 | < 5% |
Lieser, Lori, Michell | Vice President | 01/2022 | < 5% |
Sontag, Eric, Matthew | President & Chief Operations Officer | 01/2022 | < 5% |
O'malley, Edward, George | Director | 01/2022 | < 5% |
Moo, Veronica, Ei Chun | Director | 01/2022 | < 5% |
Stastney, Hoyt, Ronald | Chief Legal Officer | 01/2022 | < 5% |
Lamena, Michael, Anthony | Chief Executive Officer | 01/2022 | < 5% |
Del Priore, Michael, J | Chief Compliance Officer | 01/2022 | < 5% |
Powers, Brian, David | Chief Financial Officer | 01/2022 | < 5% |
Decarlo, James, Edwin | Chief Growth Officer | 01/2022 | < 5% |
Moriarty, Michael, Joseph | Chief Investment Officer | 01/2022 | < 5% |
Wealthspire Advisors | Owner | 01/2022 | > 75% |
Wealthspire Holdings, LLC | Member | 11/2017 | > 75% |
NFP Corp. | Owner | 11/2017 | > 75% |
NFP Intermediate Holdings B. Corp. | Owner | 07/2013 | > 75% |
NFP Intermediate Holdings A. Corp. | Owner | 07/2013 | > 75% |
NFP Parent Co, LLC | Owner | 10/2014 | > 75% |
NFP Holdings, LLC | Owner | 07/2013 | > 75% |
NFP Ultimate Holdings, LLC | Owner | 02/2017 | > 75% |
Patriot SPV, L.P. | Owner | 03/2021 | > 75% |
Patriot SPV GP, L.P. | General Partner | 03/2021 | |
Madison Dearborn Partners | General Partner | 04/2021 |
Latest filings (excl ownership)
No filings
Latest ownership filings
13F-HR
Quarterly holdings report by institutional manager
17 Apr 24
13F-HR
Quarterly holdings report by institutional manager
23 Jan 24
13F-HR
Quarterly holdings report by institutional manager
23 Oct 23
13F-HR
Quarterly holdings report by institutional manager
21 Jul 23
13F-HR
Quarterly holdings report by institutional manager
20 Apr 23
13F-HR
Quarterly holdings report by institutional manager
1 Feb 23
13F-HR
Quarterly holdings report by institutional manager
21 Oct 22
13F-HR
Quarterly holdings report by institutional manager
25 Jul 22
13F-HR
Quarterly holdings report by institutional manager
25 Apr 22
13F-HR
Quarterly holdings report by institutional manager
25 Jan 22