← Tributary

OCEAN PARK ASSET MANAGEMENT, INC.

SANTA MONICA, CA · CRD 105765 · IAPD ↗ · 310-452-1887

$146.8MRegulatory AUM
8Advisory reps
48Employees
17Clients
n/aPlanning clients
0Private funds
19States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
January 2025 — OCEAN PARK ASSET MANAGEMENT, INC. (SANTA MONICA, CA) left the SEC roster (was $146.8M RAUM, 8 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
50
March 2024 — OCEAN PARK ASSET MANAGEMENT, INC. added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
60
March 2024 — OCEAN PARK ASSET MANAGEMENT, INC. began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
65
March 2024 — OCEAN PARK ASSET MANAGEMENT, INC. now reports custody of client assets ($25.6M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.