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INTEROCEAN CAPITAL

NASHVILLE, TN · CRD 310369 · IAPD ↗ · focusfinancialpartners.com · 312-648-1720

$5.81BRegulatory AUM
30Advisory reps
40Employees
1Clients
251-500Planning clients
0Private funds
52States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
August 2024 — INTEROCEAN CAPITAL (NASHVILLE, TN) left the SEC roster (was $5.81B RAUM, 30 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
55
April 2024 — INTEROCEAN CAPITAL added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
77
April 2024 — INTEROCEAN CAPITAL grew from 23 to 30 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.