Orca Investment Management provides portfolio management for individuals and small businesses and portfolio management for institutions.
Orca Investment Management reports 364 clients. They include 321 individual clients, 38 high-net-worth individuals and 5 charitable organizations. Of its assets, 95.7% ($203M across 532 accounts) are managed with discretion; $9.13M across 25 accounts are not. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 88% | 56% |
| High-net-worth individuals | 10% | 41% |
| Charitable organizations | 1% | 3% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 321 | $119M | 56.3% | $371K |
| High-net-worth individuals | 38 | $86.3M | 40.8% | $2.27M |
| Charitable organizations | 5 | $6.01M | 2.8% | $1.2M |
| Corporations and other businesses | Fewer than 5 | $138K | 0.1% | — |
| Total | 364 | $212M | 100% | — |
- Clients
- 321
- Regulatory AUM
- $119M
- AUM share
- 56.3%
- Avg. per client
- $371K
- Clients
- 38
- Regulatory AUM
- $86.3M
- AUM share
- 40.8%
- Avg. per client
- $2.27M
- Clients
- 5
- Regulatory AUM
- $6.01M
- AUM share
- 2.8%
- Avg. per client
- $1.2M
- Clients
- Fewer than 5
- Regulatory AUM
- $138K
- AUM share
- 0.1%
- Avg. per client
- —
Total
- Clients
- 364
- Regulatory AUM
- $212M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
Orca Investment Management charges up to 1.25% a year for its Asset-Based Management Fee. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Special Projects
- Special projects, such as lengthy research or work with a client's attorney or tax advisor, are billed on a negotiable fee due at service or as negotiated.
Paulson Capital Holding Company, LLC owns 75% or more of Orca Investment Management. The leadership team of Orca Investment Management includes Chief Compliance Officer Harry Striplin. It has 7 employees, 3 of them in advisory roles.
Leadership
- Harry StriplinChief Compliance Officer
- Shawn WillardManager
Investment adviser representatives
10 representatives listed in the SEC register as of 9 October 2026.
Staff
- 7 employees
- 3 in advisory functions
- 4 state-registered reps
- 1 broker-dealer rep
- 1 soliciting firm
- Owns 75% or more of Orca Investment Management, LLC
Paulson Capital Holding Company, LLC
Control person · since January 2024
Orca Investment Management’s regulatory assets grew from $155M (March 2021) to $212M (May 2026); clients rose from 280 to 364 and employees were 7 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| May 2026 | $212M | 364 | 7 | 2 |
| June 2025 | $183M | 272 | 7 | 2 |
| May 2024 | $162M | 268 | 7 | 2 |
| March 2023 | $137M | 275 | 7 | 2 |
| March 2022 | $173M | 279 | 7 | 2 |
| March 2021 | $155M | 280 | 7 | 2 |
Besides its headquarters, Orca Investment Management has 1 office, with 2 listed addresses in Oregon.
Oregon · 2 listed addresses
- 6 Centerpointe Drive, Suite 300, Lake OswegoHQ
- 6 Centerpointe Drive, Lake Oswego
Contact and registration details
- Legal name
- Orca Investment Management, LLC
- Headquarters
- 6 Centerpointe Drive, Suite 300, Lake Oswego, OR 97035
- Website
- orcaim.com
- Phone
- 503-582-9500
- SEC file
- 801-68050
- Structure
- Oregon LLC
- Fiscal year end
- December
Orca Investment Management uses Charles Schwab ($86.6M, 53%) and Pershing ($75.5M, 47%) as custodians for its separately managed accounts. Orca Investment Management has custody of $12.6M in client assets for 34 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $86.6M53%
- PershingPershing LLC · Jersey City, NJ · $75.5M47%
At year end, Orca Investment Management’s separately managed accounts were mostly in stocks (55%) and funds (26%). Its reported 13F holdings for the quarter ended 30 June 2026 total $138M across 60 positions; the largest are Alphabet Inc. Class Class C (8.4%), Apple Inc. (7.5%) and Microsoft Corp. (6.7%).
What the accounts hold
- Stocks55%
- Funds26%
- Bonds13%
- Cash6%
Reported 13F holdings
- $138M
- Reported 13F value
- 60
- Positions
- 53.2%
- In the 10 largest
- +17.2%
- Value vs. prior quarter
- Alphabet Inc. Class Class C8.4%
- Apple Inc.7.5%
- Microsoft Corp.6.7%
- Broadcom Inc.5.5%
- State Street SPDR S&P 500 ETF · ETF - Equity5.1%
- Intel Corp.5.1%
- Cardinal Health Inc.4.8%
- Alphabet Inc. Class A4.2%
- Johnson & Johnson3.1%
- CVS Health Corp.2.6%
Together, the ten largest are 53.2% of reported value.
How many clients does Orca Investment Management have?
Orca Investment Management has 364 clients and manages $212 million for them, as of May 2026. They include 321 individual clients, 38 high-net-worth individuals and 5 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 1 May 2026
What services does Orca Investment Management offer?
Orca Investment Management provides portfolio management for individuals and small businesses and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Orca Investment Management charge?
Orca Investment Management charges up to 1.25% a year for its Asset-Based Management Fee. The fee is billed in advance and is negotiable.
Which custodians does Orca Investment Management use?
Orca Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $86.6M and Pershing LLC (Jersey City, NJ), with $75.5M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 May 2026
How many financial advisors does Orca Investment Management have?
Orca Investment Management has 4 investment adviser representatives registered with state securities authorities, out of 7 employees, and 3 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 0 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 Orca Investment Management invest in?
At the end of its last fiscal year, Orca Investment Management’s separately managed accounts held 55% exchange-traded equities, 26% registered funds (mutual funds, ETFs, BDCs), 13% U.S. government and agency bonds and 6% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Orca Investment Management?
Orca Investment Management’s direct owner is Paulson Capital Holding Company, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 1 May 2026
How does Orca Investment Management get paid?
Orca Investment Management is paid through a percentage of assets under management, fixed fees and other compensation. 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
How do I contact Orca Investment Management?
Orca Investment Management’s main office is at 6 Centerpointe Drive, Suite 300, Lake Oswego, OR 97035. Its phone number is 503-582-9500. Its website is orcaim.com.