O&
Oshima & Associates
State-registered
Wealth Manager · Boutique (under $100M)
CRD 10370
· Boston, MA
☆ Save with Pro
ADV data as of Jan 23, 2025
- Regulatory AUM
- $5.5M
- Discretionary
- $4.0M
- Clients
- 12
- Avg AUM / client
- $458K
- Accounts
- 15
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 12 | $5.5M | 100.0% |
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/23/2025 | 1.27 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 23, 2025.
View current Form ADV (SEC/IAPD) ↗