Ocean Advisors, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Ocean Advisors provides investment management and personal financial planning to individuals, families, trusts, estates, family businesses and corporate retirement plans. The firm also evaluates and monitors third‑party money managers, participates in wrap fee programs, and coordinates referrals to other professionals when appropriate.
The firm’s investment process blends strategic asset allocation with tactical adjustments informed by both fundamental and technical analysis; strategies include dividend‑focused equity portfolios, diversified funds and individual securities, and the selective use of options for income enhancement or downside protection. Ocean Advisors grants discretionary authority to third‑party managers in some accounts and has recently entered a sub‑advisory relationship with an unaffiliated advisor to implement options‑based strategies and low‑cost lending alternatives using leveraged account collateral.
A distinguishing operational feature is the firm’s emphasis on financial education: the principal conducts corporate financial education programs and edits an investment newsletter, dedicating roughly eight hours per month to these activities, which is uncommon among solo independent advisers. The combination of options strategies that require additional trading approval, a formal sub‑advisory arrangement to implement borrowing/lending techniques, and occasional directed‑brokerage or wrap program use differentiates the firm from many peers.
Client services
Expertise
Fee options
Financial planning services may be charged as an agreed-upon flat fee
$0 - $1,000,000: 1.00% of AUM $1,000,001 - $2,000,000: 0.75% of AUM $2,000,001+: 0.50% of AUM
$300 per hour for financial planning services
Minimum fee: $3,600 per year ($300 per month), minimum annual investment management fee Fee-only: Financial planning fees charged as flat fees or hourly at $300 per hour
Main office
3411 Mar Vista Circle
Charlotte NC 28209
Advisors at this office
1
Most active in
Florida · North Carolina
Also doing business as
Ocean Advisors · Ocean Advisors, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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