{"url":"https://nivawealth.com/firms/southocean-capital-partners-171580","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/171580","regulatoryAum":575262443,"crd":"171580","history":[{"filedOn":"2021-05-20","regulatoryAum":465343861,"clients":12,"employees":7,"offices":1},{"filedOn":"2022-06-22","regulatoryAum":551513613,"clients":15,"employees":8,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":568253419,"clients":15,"employees":8,"offices":1},{"filedOn":"2024-03-29","regulatoryAum":630536002,"clients":15,"employees":8,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":641662634,"clients":15,"employees":8,"offices":1},{"filedOn":"2026-03-31","regulatoryAum":575262443,"clients":17,"employees":8,"offices":1}],"secFileNumber":"801-80327","legalName":"Southocean Capital Partners, LLC","displayName":"SouthOcean Capital Partners","slug":"southocean-capital-partners-171580","website":"https://southoceancapital.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/171580/66dc421c2c035326-r1.webp","tone":"light","width":479,"height":200,"sourceUrl":"https://southoceancapital.com/user/login?destination=node/6","sourceLabel":"Southocean Capital Partners, LLC, website"},"classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/southocean-capital-partners/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"401 E. Las Olas BLVD., Suite 2220","city":"FT. Lauderdale","state":"FL","stateName":"Florida","country":"United States","postalCode":"33301"},"tradeNames":[],"registration":{"secApproved":"17 September 2014","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":8,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":575262443,"discretionary":575262443,"discretionaryAccounts":17,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":17,"regulatoryAum":575262443}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"SouthOcean Capital Partners has custody of $457M in client assets for 17 clients.","otherCustodians":[],"leadership":[{"name":"Timothy Bannon","title":"Managing Director, President & CEO","crd":"6338697"},{"name":"Lorraine Estrada","title":"Vice President & Secretary","crd":"6284281"},{"name":"Lisa Giovannelli","title":"Chief Compliance Officer","crd":"4420569"},{"name":"David Horvitz","title":"Managing Director, Chairman & Treasurer","crd":"6338693"},{"name":"Linda Roth","title":"Board Member","crd":"6338760"}],"ownership":[{"label":"Timothy Bannon","detail":"Managing director, president & ceo in the 25% to 50% ownership band and a control person, since April 2014."},{"label":"HRC Investments, LLC","detail":"Managing member in the 50% to 75% ownership band and a control person, since February 2017."},{"label":"S&C Reynolds Holdings, LLC","detail":"Member in the 10% to 25% ownership band, since April 2025."},{"label":"Linda Roth","detail":"Indirect owner: trustee of Roth Family Investment Revocable Trust; U/T/D 6/26/08 and a control person, since June 2008. Also manager of Hrci Manager LLC and a control person, since October 2024.","parent":"Roth Family Investment Revocable Trust; U/T/D 6/26/08"},{"label":"Stephen Roth","detail":"Indirect owner: a member of HRC Capital, LLC in the 25% to 50% band and a control person, since June 2014.","parent":"HRC Capital, LLC"},{"label":"Emily Makar","detail":"Indirect owner: trustee of Emily C. Makar Revocable Trust U/T/D 2/7/18, As Restated and a control person, since February 2018.","parent":"Emily C. Makar Revocable Trust U/T/D 2/7/18, As Restated"},{"label":"Sara Corr","detail":"Indirect owner: trustee of Sara M. Corr 2013 Revocable Trust, U/T/D 7/21/13 and a control person, since July 2013.","parent":"Sara M. Corr 2013 Revocable Trust, U/T/D 7/21/13"},{"label":"Gregory Horvitz","detail":"Indirect owner: trustee of Gregory S. Horvitz Revocable Trust, U/T/D 5/31/12, As Amended and a control person, since May 2012.","parent":"Gregory S. Horvitz Revocable Trust, U/T/D 5/31/12, As Amended"},{"label":"Roth Family Investment Revocable Trust; U/T/D 6/26/08","detail":"Indirect owner: a member of Hrci Manager LLC in the 50% to 75% band and a control person, since June 2014.","parent":"Hrci Manager LLC"},{"label":"David Horvitz","detail":"Indirect owner: trustee of David W. Horvitz 1991 Trust; U/T/D 3/25/91, As Amended and Restated and a control person, since March 1991. Also manager of Hrci Manager LLC and a control person, since June 2014.","parent":"David W. Horvitz 1991 Trust; U/T/D 3/25/91, As Amended and Restated"},{"label":"David W. Horvitz 1991 Trust; U/T/D 3/25/91, As Amended and Restated","detail":"Indirect owner: a member of Hrci Manager LLC in the 50% to 75% band and a control person, since June 2014.","parent":"Hrci Manager LLC"},{"label":"Gregory S. Horvitz Revocable Trust, U/T/D 5/31/12, As Amended","detail":"Indirect owner: a member of HRC Capital, LLC in the 25% to 50% band and a control person, since June 2014.","parent":"HRC Capital, LLC"},{"label":"Sara M. Corr 2013 Revocable Trust, U/T/D 7/21/13","detail":"Indirect owner: a member of HRC Capital, LLC in the 25% to 50% band and a control person, since June 2014.","parent":"HRC Capital, LLC"},{"label":"Hrci Manager LLC","detail":"Indirect owner: managing member of HRC Investments, LLC and a control person, since February 2017.","parent":"HRC Investments, LLC"},{"label":"HRC Capital, LLC","detail":"Indirect owner: a non-managing member of HRC Investments, LLC in the 75% or more band and a control person, since February 2017.","parent":"HRC Investments, LLC"},{"label":"Emily C. Makar Revocable Trust U/T/D 2/7/18, As Restated","detail":"Indirect owner: member of HRC Capital, LLC and a control person, since April 2021.","parent":"HRC Capital, LLC"},{"label":"Sean Reynolds","detail":"Indirect owner: a manager and member of S&C Reynolds Holdings, LLC in the 50% to 75% band and a control person, since January 2022.","parent":"S&C Reynolds Holdings, LLC"},{"label":"Courtney Reynolds","detail":"Indirect owner: a member of S&C Reynolds Holdings, LLC in the 50% to 75% band and a control person, since January 2022.","parent":"S&C Reynolds Holdings, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"401 E. Las Olas BLVD., Suite 2220","city":"FT. Lauderdale","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"954-331-0109","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":17},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/171580/PDF/171580.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does SouthOcean Capital Partners have?","answer":"SouthOcean Capital Partners has 17 clients and manages $575 million for them, as of March 2026. They include 17 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does SouthOcean Capital Partners offer?","answer":"SouthOcean Capital Partners provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does SouthOcean Capital Partners have?","answer":"SouthOcean Capital Partners has 0 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":"Who owns SouthOcean Capital Partners?","answer":"SouthOcean Capital Partners is owned through a chain of holding companies by Stephen Roth and Sean and Courtney Reynolds. Its direct owners are Timothy Bannon (25% to 50%), HRC Investments, LLC (50% to 75%) and S&C Reynolds Holdings, LLC (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does SouthOcean Capital Partners get paid?","answer":"SouthOcean Capital Partners is paid through a percentage of assets under management 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact SouthOcean Capital Partners?","answer":"SouthOcean Capital Partners’ main office is at 401 E. Las Olas BLVD., Suite 2220, FT. Lauderdale, FL 33301. Its phone number is 954-331-0109. Its website is southoceancapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 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."}