{"url":"https://nivawealth.com/firms/five-oceans-advisors-308377","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/308377","regulatoryAum":456192437,"crd":"308377","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5047367","suffix":null,"lastName":"GIRBES-PIERCE","firstName":"CHRISTOPHER","middleName":"GUILLERMO"},{"crd":"4910477","suffix":null,"lastName":"MALLMAN","firstName":"LESLIE","middleName":"LOIS"},{"crd":"5618562","suffix":null,"lastName":"MOSER","firstName":"JOE","middleName":"PHILIP"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-29","regulatoryAum":357480712,"clients":127,"employees":6,"offices":2},{"filedOn":"2022-02-11","regulatoryAum":383983241,"clients":130,"employees":6,"offices":2},{"filedOn":"2023-08-08","regulatoryAum":499263930,"clients":143,"employees":6,"offices":2},{"filedOn":"2024-02-01","regulatoryAum":496113439,"clients":137,"employees":7,"offices":2},{"filedOn":"2025-02-21","regulatoryAum":408116922,"clients":114,"employees":7,"offices":4},{"filedOn":"2026-01-23","regulatoryAum":456192437,"clients":117,"employees":8,"offices":4}],"secFileNumber":"801-118502","legalName":"Five 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fee","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1003671","versionId":1003671,"ratePeriod":"annual","fee_billing":"both","submittedOn":"2026-01-23","documentName":"ADV PART 2A- FIVE OCEANS ADVISORS LLC","fee_rate_low":1,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":"annual","fee_minimum_annual":2500}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T10:51:56.315882+00:00","documents":[{"name":"ADV PART 2A- FIVE OCEANS ADVISORS LLC","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1003671","versionId":1003671,"submittedOn":"2026-01-23"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":426839157}],"custodyNote":"Five Oceans Advisors has custody of $4M in client assets for 1 client.","otherCustodians":[],"leadership":[{"name":"Trisa Summers","title":"President","crd":"4839071"},{"name":"Spencer Rand","title":"Chief Compliance Officer","crd":"6144205"},{"name":"Marc Campbell","title":"Member","crd":"5789364"},{"name":"Christopher Girbes-Pierce","title":"Member","crd":"5047367"},{"name":"David Newson","title":"Member","crd":"4857641"}],"ownership":[{"label":"Marc Campbell","detail":"Member in the 50% to 75% ownership band and a control person, since February 2020."},{"label":"Christopher Girbes-Pierce","detail":"Member in the 50% to 75% ownership band and a control person, since May 2020."},{"label":"David Newson","detail":"Member in the 5% to 10% ownership band, since January 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":3},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"brochureServices":["education planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"310-507-9180","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":80},{"label":"Securities issued by registered investment companies or business development companies","percent":17},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"23 January 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/308377/PDF/308377.pdf","brochureDate":"23 January 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1003671","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Five Oceans Advisors have?","answer":"Five Oceans Advisors has 117 clients and manages $456 million for them, as of January 2026. They include 74 high-net-worth individuals and 43 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 January 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Five Oceans Advisors offer?","answer":"Five Oceans Advisors provides financial planning, portfolio management for individuals and small businesses, selecting other managers, educational seminars, education planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Five Oceans Advisors charge?","answer":"Five Oceans Advisors charges 1.00% a year for its Advisory fee. The fee is billed in advance or in arrears, is negotiable and has a $2,500 annual minimum.","source":"ADV PART 2A- FIVE OCEANS ADVISORS LLC, filed 23 January 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Five Oceans Advisors use?","answer":"Five Oceans Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $427M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 January 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Five Oceans Advisors have?","answer":"Five Oceans Advisors has 4 investment adviser representatives registered with state securities authorities, out of 8 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Five Oceans Advisors invest in?","answer":"At the end of its last fiscal year, Five Oceans Advisors’ separately managed accounts held 80% exchange-traded equities, 17% registered funds (mutual funds, ETFs, BDCs) and 3% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Five Oceans Advisors?","answer":"Five Oceans Advisors’ direct owners are Marc Campbell (50% to 75%), Christopher Girbes-Pierce (50% to 75%) and David Newson (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 23 January 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Five Oceans Advisors get paid?","answer":"Five Oceans Advisors is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Five Oceans Advisors?","answer":"Its phone number is 310-507-9180. Its website is fiveoceansadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 23 January 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}