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SIERRA OCEAN, LLC

RIPON, CA · CRD 313829 · IAPD ↗ · 209-232-7100

$544.6MRegulatory AUM
3Advisory reps
3Employees
0Clients
51-100Planning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
April 2026 — SIERRA OCEAN, LLC crossed $500M in regulatory AUM ($446.6M -> $544.6M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
68
April 2025 — SIERRA OCEAN, LLC now reports custody of client assets ($2.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
61
April 2024 — SIERRA OCEAN, LLC reports 51-100 financial-planning clients, up from 26-50.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

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