OF
Ocean Financial Advisors Llc
State-registered
Investment Adviser · Boutique (under $100M)
CRD 291950
· Miami, FL
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ADV data as of Mar 17, 2026
- Regulatory AUM
- $4.0M
- Discretionary
- $3.2M
- Clients
- 5
- Avg AUM / client
- $807K
- Accounts
- 5
- Employees
- 10
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 3 | $1.7M | 42.0% |
| Other | 2 | $2.3M | 58.0% |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Maria Luisa De Jesus | Registered representative | Jun 2019 (7y) | ||
| Henry De Valle | Registered representative | Jul 2019 (7y) | ||
| Juan Pablo Penaloza | Registered representative | Apr 2021 (5y) | ||
| Carlos A Da Gama | Registered representative | Jun 2024 (2y) | ||
| Carlos Jose Pena Velazco | Registered representative | Jun 2024 (2y) | ||
| Alexandra Rumie | Registered representative | Jan 2025 (2y) | ||
| Manuel M Del Canal | Registered representative | Jan 2025 (2y) | ||
| Providencia Mordan | Registered representative | May 2025 (1y) | ||
| Anthony De Jesus Pantoja | Registered representative | Jun 2026 (0y) |
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) | 03/17/2026 | 1.51 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
- • Commissions
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Axos Clearing $3.2M (80% of AUM) Mar 2026
- Pershing $815K (20% of AUM) Mar 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: Mar 17, 2026.
View current Form ADV (SEC/IAPD) ↗