Oceanic Capital Management LLC

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Client assets under management

$45,247,497

Clients

13% high-net-worth

Advisors

of 2 employees

Firm type

Supported

1-4 advisors or >$200M in AUM

Clients per advisor

Typical

Average account size

$486,532

About

Oceanic Capital Management provides investment supervisory services and financial planning to individuals — including high-net-worth and non‑HNW clients — as well as to institutional clients such as banks, pension plans, and charitable organizations. The firm manages roughly $64.6 million in client assets across discretionary and non‑discretionary accounts and also advises on insurance and annuity products when appropriate.

The firm’s investment approach centers on diversified, multi‑asset allocation models that draw on modern portfolio theory and may include fixed income, equities, commodities, real estate, precious metals, currencies, private equity, and absolute‑return funds. OCM uses both fundamental and technical analysis, periodic rebalancing, and a mix of long‑ and short‑term strategies, and it offers clients the option of non‑discretionary management while performing individualized risk profiling during onboarding.

Noteworthy differences from many peers include the principals’ roles as licensed insurance producers who may sell annuities and other insurance products for commissions, a relationship the brochure discloses as a potential conflict of interest. The firm also organizes no‑charge educational seminars and workshops on topics such as Social Security and retirement planning and typically favors ETFs and exchange‑traded products over mutual funds, while periodically referring clients to third‑party managers.

Client services

Financial planning Portfolio management Selection of other advisers

Expertise

Wealth management Private / alternative investments Real estate investing Annuities

Fee options

Percentage

1% to 2.0% annually, negotiable based on total client relationships and assets under management

Commissions

Commissions received for insurance products sold by Principals as licensed insurance agents, disclosed to clients prior to transactions.

Project-based

Hourly rate of $350 applied if financial planning services terminated before completion and fees are prorated.

Other

Account minimum: $250,000 Fee-only: Financial planning fees typically range from $3,500 to $5,000 per plan, negotiable, may be reduced or waived for investment management clients. Fees billed half in advance and half upon delivery of plan.

Main office location

Oceanic Capital Management LLC

125 Half Mile Road, Suite 200

Red Bank NJ 07701, United States

Number of offices

Most active in

New Jersey

Disclosures

Business activities & affiliations

Is active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Is not active or affiliated with:

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

LinkedIn Facebook X Website 732-345-1533

Advisors at this firm

Douglas L

CFP®, CFA®, Series 63, Series 66

Red Bank, NJ

Oceanic Capital Management LLC

Douglas Lyons is a CFP® and CFA® with 16 years of industry experience. He has been with Oceanic Capital Management LLC since 2017 and also operates Douglas J. Lyons Financial Group Inc. since 2010. He holds Series 63 and Series 66 licenses. Oceanic Capital Management is a small, state-registered advisory firm serving individual and high-net-worth clients with approximately 90 client relationships and managing around $59 million in assets. The firm uses diversified, multi-asset allocation models based on modern portfolio theory and a mix of fundamental and technical analysis, offering both discretionary and non-discretionary portfolio management alongside financial planning and referrals to third-party money managers.

Wealth management Private / alternative investments Real estate investing Annuities

Thomas Y

CFP®, Series 63, Series 65

Red Bank, NJ

Oceanic Capital Management LLC

Thomas Yorke is a CFP® with 38 years of industry experience, currently serving as an advisor at Oceanic Capital Management LLC since 2008. He previously worked at SagePoint Financial for one year. In addition to his advisory role, he is a licensed insurance producer in New Jersey. Oceanic Capital Management is a state-registered advisory firm serving individual and high-net-worth clients with approximately 90 client relationships and $59 million in assets under management. The firm employs diversified, multi-asset allocation strategies combining fundamental and technical analysis and offers both discretionary and non-discretionary portfolio management alongside financial planning and third-party manager referrals.

Wealth management Private / alternative investments Real estate investing Annuities

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