OceanIQ Capital provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers, and educational seminars. The firm advises 3 private funds.
OceanIQ Capital reports 452 clients. They include 448 high-net-worth individuals and 4 pooled investment vehicles. Of its assets, 89.5% ($299M across 425 accounts) are managed with discretion; $35.1M across 27 accounts are not. Of its clients, 15% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| High-net-worth individuals | 99% | 93% |
| Pooled investment vehicles | <1% | 7% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| High-net-worth individuals | 448 | $312M | 93.4% | $697K |
| Pooled investment vehicles | 4 | $22M | 6.6% | $5.5M |
| Total | 452 | $334M | 100% | $739K |
- Clients
- 448
- Regulatory AUM
- $312M
- AUM share
- 93.4%
- Avg. per client
- $697K
- Clients
- 4
- Regulatory AUM
- $22M
- AUM share
- 6.6%
- Avg. per client
- $5.5M
Total
- Clients
- 452
- Regulatory AUM
- $334M
- AUM share
- 100%
- Avg. per client
- $739K
- Clients outside the U.S.
- 15%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 3
- Financial planning clients last fiscal year
- 0
OceanIQ Capital is paid through a percentage of assets under management, hourly charges, fixed fees (other than subscription fees) and performance-based fees. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Family Office Services
- Family office services are project based and range up to $10,000 annually.
- Financial Planning and Consulting
- Financial planning and consulting are billed hourly at a maximum of $500 per hour, or as flat fees ranging from $10,000 to $100,000.
Oceaniq Group LLC owns 75% or more of OceanIQ Capital and is in turn owned by Kai Chen (75% or more). The leadership team of OceanIQ Capital includes Chief Operating Officer Ying Ying Jing and Chief Compliance Officer Gary Swiman. It has 7 employees, 4 of them in advisory roles.
Leadership
- Ying Ying JingChief Operating Officer
- Gary SwimanChief Compliance Officer
- Kai ChenManaging Director
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
- Kai Chen
- Qianqian He
- Ying Ying Jing
- Tsun Tat Wong
Staff
- 7 employees
- 4 in advisory functions
- 4 state-registered reps
- 1 broker-dealer rep
- 2 insurance agents
- 6 soliciting firms
- Owns 75% or more of Oceaniq Capital, LLC
Oceaniq Group LLC
Control person · since July 2017
- Owns 75% or more of Oceaniq Group LLC
Kai Chen
Control person · since July 2017
OceanIQ Capital’s regulatory assets grew 3.3× from $100M (April 2021) to $334M (June 2026); clients rose from 53 to 452 and employees from 4 to 7.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| June 2026 | $334M | 452 | 7 | 1 |
| March 2025 | $181M | 394 | 4 | 1 |
| March 2024 | $181M | 518 | 4 | 1 |
| March 2023 | $115M | 263 | 4 | 1 |
| May 2022 | $125M | 133 | 4 | 1 |
| April 2021 | $100M | 53 | 4 | 1 |
Besides its headquarters, OceanIQ Capital has 0 offices, with 1 listed address in California.
California · 1 listed address
- 1881 Page Mill RD., Suite #236, Palo AltoHQ
Contact and registration details
- Legal name
- Oceaniq Capital, LLC
- Headquarters
- 1881 Page Mill RD., Suite #236, Palo Alto, CA 94304
- Website
- oceaniqcapital.com
- Phone
- 415-432-7580
- SEC file
- 801-113911
- Structure
- Delaware LLC
- Fiscal year end
- December
OceanIQ Capital uses Charles Schwab ($267M) as custodian for its separately managed accounts. OceanIQ Capital has custody of client assets.
- Charles SchwabCharles Schwab & Co. · San Francisco, CA · $267M100%
At year end, OceanIQ Capital’s separately managed accounts were mostly in stocks (70%) and bonds (19%). Its reported 13F holdings for the quarter ended 30 June 2026 total $165M across 110 positions; the largest are Nvidia Corporation (30.6%), Microsoft Corp. (5.2%) and EA Series Trust (4.6%).
What the accounts hold
- Stocks70%
- Exchange-traded equities40%
- Non-exchange-traded equities30%
- Funds7%
- Registered funds5%
- Pooled vehicles2%
- Bonds19%
- U.S. government and agency bonds14%
- State and local bonds5%
- Cash3%
- Other1%
- Derivatives1%
Reported 13F holdings
- $165M
- Reported 13F value
- 110
- Positions
- 63.7%
- In the 10 largest
- —
- Value vs. prior quarter
- Nvidia Corporation30.6%
- Microsoft Corp.5.2%
- EA Series Trust · Alpha Arch 1-34.6%
- Apple Inc.4.5%
- Alibaba Group Hldg Ltd · Sponsored ADS4.1%
- iShares TR · Core S&P500 ETF3.9%
- Alphabet Inc. · Cap Stk CL A3.8%
- Amazon Com Inc.2.5%
- Berkshire Hathaway Inc. Del · CL A2.3%
- Tesla Inc.2.2%
Together, the ten largest are 63.7% of reported value.
How many clients does OceanIQ Capital have?
OceanIQ Capital has 452 clients and manages $334 million for them, as of June 2026. They include 448 high-net-worth individuals and 4 pooled investment vehicles.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 24 June 2026
What services does OceanIQ Capital offer?
OceanIQ Capital provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers, and educational seminars.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does OceanIQ Capital use?
OceanIQ Capital’s separately managed account assets are held at Charles Schwab & Co. (San Francisco, CA), with $267M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 June 2026
How many financial advisors does OceanIQ Capital have?
OceanIQ Capital has 4 investment adviser representatives registered with state securities authorities, out of 7 employees, and 4 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 2 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does OceanIQ Capital invest in?
At the end of its last fiscal year, OceanIQ Capital’s separately managed accounts held 40% exchange-traded equities, 30% non-exchange-traded equities, 14% U.S. government and agency bonds, 5% state and local bonds, 5% registered funds (mutual funds, ETFs, BDCs), 3% cash and equivalents, 2% pooled vehicles (private funds and similar) and 1% derivatives. It advises 3 private funds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns OceanIQ Capital?
OceanIQ Capital is owned through a holding company by Kai Chen. Its direct owner is Oceaniq Group LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 24 June 2026
How does OceanIQ Capital get paid?
OceanIQ Capital is paid through a percentage of assets under management, hourly charges, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is OceanIQ Capital registered with the SEC?
Yes, OceanIQ Capital has been registered with the SEC as an investment adviser since 29 August 2018. Its CRD number is 168062 and its SEC file number is 801-113911.
Source: Form ADV Part 1A, Item 1, filed 24 June 2026; IAPD firm record
How do I contact OceanIQ Capital?
OceanIQ Capital’s main office is at 1881 Page Mill RD., Suite #236, Palo Alto, CA 94304. Its phone number is 415-432-7580. Its website is oceaniqcapital.com.