Leslie Mallman has been an investment adviser representative at Five Oceans Advisors since May 2024, and is not listed among the firm’s executive officers or direct owners.
Five Oceans Advisors LLC is a firm with $456M under management, 117 clients and 4 advisers across 4 offices, as of its January 2026 filing.
Leslie Mallman is Advisor of Five Oceans Advisors, based in San Francisco, CA. Mallman's career in financial advising began at a boutique investment management firm in Chicago in 2004. Mallman later started a solo financial advising practice and launched and grew a startup focused on accessible financial planning.
Leslie Mallman’s longest registration was 3 years at RMB Capital Management (2006–2009). Before joining Five Oceans Advisors in 2024, Leslie Mallman was registered through Grove and Skyline Financial Advisors, LLC.
- Five Oceans AdvisorsCurrent– present · 2 yearsSanta Monica, CA · Adviser representative · Firm CRD 308377
- Grove– · 2 yearsSan Francisco, CA · Adviser representative · Firm CRD 281084
- Skyline Financial Advisors, LLC– · 1 yearSan Francisco, CA · Adviser representative · Firm CRD 175082
- RMB Capital Management– · 3 yearsChicago, IL · Adviser representative · Firm CRD 134249
Professional designations
Listed by Five Oceans Advisors
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Leslie Mallman is registered as an investment adviser representative in 2 states. Each was approved in May 2024.
- CaliforniaSince 7 May 2024
- TexasSince 7 May 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 9 August 2006 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Leslie Lois Mallman
- CRD
- 4910477
- Firm
- Five Oceans Advisors · CRD 308377
- Office
- Santa Monica, CA
- Registration
- Investment adviser registration
- In the industry since
- August 2016
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- fiveoceansadvisors.com
Where does Leslie Mallman work?
Leslie Mallman is an investment adviser representative registered through Five Oceans Advisors LLC since May 2024, and is not listed among the firm’s executive officers or direct owners.
Is Leslie Mallman a financial advisor?
Yes. Leslie Mallman has a current investment-adviser registration in California and Texas, through Five Oceans Advisors since May 2024.
How many years of experience does Leslie Mallman have?
Leslie Mallman has 10 years in the financial industry, since August 2016, across 4 adviser firms.
What exams has Leslie Mallman passed?
Leslie Mallman passed the Series 65 in August 2006.
Where did Leslie Mallman work before Five Oceans Advisors?
Before Five Oceans Advisors, Leslie Mallman was registered through Grove, December 2016 to September 2019; Skyline Financial Advisors, LLC, April 2015 to April 2017; RMB Capital Management, August 2006 to November 2009.
Where is Leslie Mallman based?
Leslie Mallman’s registered office is in Santa Monica, CA.
Is Leslie Mallman registered with FINRA?
No. Leslie Mallman has no current broker registration.
Is Leslie Mallman a CFP?
Five Oceans Advisors lists Leslie Mallman with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Leslie Mallman’s record?
Search CRD 4910477 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Leslie Mallman’s full registration record.
