Orca Investment Management, Llc
- Regulatory AUM
- $212M
- Discretionary
- $203M
- Clients
- 364
- Avg AUM / client
- $581K
- Accounts
- 557
- Employees
- 7
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 321 | $119M | 56.3% |
| High net worth individuals | 38 | $86.3M | 40.8% |
| Charitable organizations | 5 | $6.0M | 2.84% |
| Corporations and other businesses | Fewer than 5 clients | $138K | 0.07% |
People (10)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Shawn Patrick Willard | Manager, Chief Compliance Officer | Jul 2007 (19y) | Less than 5% | |
| Roger Keith Thomas | Registered representative | Aug 2010 (16y) | ||
| William George Barham | Registered representative | Jan 2013 (14y) | ||
| Harry Lynn Striplin | Registered representative | Jan 2025 (2y) | ||
| Nicoh Ryan Alday | Registered representative | Mar 2026 (0y) | ||
| David Allen Maisel | Registered representative | Mar 2026 (0y) | ||
| Peter Raymond Fogarty | Registered representative | Mar 2026 (0y) | ||
| Jamal Clarke | Registered representative | Mar 2026 (0y) | ||
| John Anthony Nole | Registered representative | Apr 2026 (0y) | ||
| Nicholas Dimitri Lailas | Registered representative | May 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Paulson Capital Holding Company, Llc | Owner | Jan 2024 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/01/2026 | 1.3 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • NEGOTIABLE PROJECT RELATED FEES
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $86.6M (41% of AUM) May 2026
- Pershing $75.5M (36% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 01, 2026.
View current Form ADV (SEC/IAPD) ↗