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FIVE OCEANS ADVISORS

· CRD 308377 · IAPD ↗ · (310) 507-9180

$456.2MRegulatory AUM
4Advisory reps
8Employees
0Clients
101-250Planning clients
0Private funds
4States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
March 2025 — FIVE OCEANS ADVISORS shrank from 6 to 4 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
53
March 2025 — FIVE OCEANS ADVISORS added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
November 2024 — FIVE OCEANS ADVISORS notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
November 2024 — FIVE OCEANS ADVISORS added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
February 2024 — FIVE OCEANS ADVISORS grew from 4 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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