Oceaniq Capital, Llc
- Regulatory AUM
- $334M
- Discretionary
- $299M
- Clients
- 452
- Avg AUM / client
- $739K
- Accounts
- 452
- Employees
- 7
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 448 | $312M | 93.4% |
| Pooled investment vehicles (non-investment companies) | 4 | $22.0M | 6.58% |
Private funds (4)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $46.7M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Ocryptofund Llc | Private Equity Fund | Delaware | $23.7M | 3 |
| Oceaniq Partners Fund Ii | Venture Capital Fund | Delaware | $17.6M | 95 |
| Forest Mobility Fund Llc | Venture Capital Fund | Delaware | $5.1M | 29 |
| Wisdomont Biotech Fund Llc | Venture Capital Fund | Delaware | $340K | 14 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kai Chen | Managing Director | Oct 2013 (13y) | ≈ 56.25% – 100% via Oceaniq Group Llc | |
| Ying Ying Jing | Chief Operating Officer, Chief Compliance Officer | Jun 2015 (11y) | Less than 5% | |
| Qianqian He | Registered representative | Nov 2025 (1y) | ||
| Tsun Tat Wong | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Oceaniq Group Llc | Owner | Jul 2017 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Kai Chen: 75% – 100% of Oceaniq Group Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
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.
Private funds (4, $46.7M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Ocryptofund Llc | Private Equity Fund | $23.7M | $0 | 3 |
| Oceaniq Partners Fund Ii | Venture Capital Fund | $17.6M | $25.0K | 95 |
| Forest Mobility Fund Llc | Venture Capital Fund | $5.1M | $10.0K | 29 |
| Wisdomont Biotech Fund Llc | Venture Capital Fund | $340K | $25.0K | 14 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/24/2026 | 2.32 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
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $267M (80% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Jun 24, 2026.
View current Form ADV (SEC/IAPD) ↗