Ocean Ivy Capital
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Ocean Ivy Capital is a fee‑only adviser that works with individuals, high‑net‑worth clients, and businesses, delivering ongoing portfolio management alongside financial planning engagements that range from comprehensive one‑time plans to hourly, limited‑scope consultations. The firm advises on typical liquid asset classes, including stocks, bonds, mutual funds, ETFs, municipal and government securities, and cash equivalents.
The firm develops individualized investment policies and asset‑allocation targets based on client goals, risk tolerance, and tax considerations, and implements strategies using a mix of passive and active vehicles. Trading is conducted on a non‑discretionary basis with clients retaining final approval, and socially responsible investing options are available upon request.
Noteworthy for a firm in this regulatory category, Ocean Ivy Capital explicitly offers standalone financial planning both as fixed‑fee one‑time plans and as hourly planning engagements, and it makes financial planning available at no additional charge to investment‑management clients. The brochure also indicates the firm does not act as a private‑fund adviser, does not aggregate client trades into block executions, and relies on third‑party custodians’ reporting while recommending an institutional custody platform.
Client services
Expertise
Occupation focus
Demographic focus
Fee options
Fixed fees for One-Time Financial Plan ranging from $2,500 to $5,000 depending on complexity
$0 - $1,000,000: 1.00% $1,000,001 - $3,000,000: 0.70% $3,000,001+: 0.50%
$255 per hour for Hourly Financial Planning services
Fee-only: Investment management and financial planning fees only, no commissions or sales-related compensation
Main office
Naperville IL
Advisors at this office
1
Most active in
Illinois
Also doing business as
Ocean Ivy Capital · Ocean Ivy Capital 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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