# PRIVATE OCEAN, LLC

PRIVATE OCEAN, LLC of SAN RAFAEL, CA is an SEC-registered investment adviser.

## Registration

- CRD: 110666
- Type: SEC-registered investment adviser
- SEC file number: 801-20857
- Location: 100 SMITH RANCH RD., SUITE 300, SAN RAFAEL, CA, 94903
- Phone: 415-526-2900
- Latest filing: 2024-04-29
- Regulatory AUM: $2.8B
- Discretionary AUM: $2.8B
- Non-discretionary AUM: $13.4M
- Clients: 45
- Accounts: 944

## Officers, owners & control persons (27)

_Showing 25 of 27 people._

| Name | Role | Location |
| --- | --- | --- |
| POWERS PATRICK DAVID | CHIEF FINANCIAL OFFICER | — |
| SONTAG HOWARD VAUGHN | SR. MANAGING DIRECTOR | — |
| STONE RICHARD ALAN | CHAIRMAN; CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER/PRESIDENT (+2 more) | — |
| STONE JANIS CATHERINE | OWNER; SECRETARY | — |
| GALLIER THEO ALFORD | CHIEF INVESTMENT OFFICER; DIRECT OWNER/CHIEF INVESTMENT OFFICER | — |
| ROUNTREE NEAL EARL | CHIEF COMPLIANCE OFFICER | — |
| DUVALL-DICKSON SUSAN DIANE | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER; DIRECT OWNER/CHIEF OPERATING OFFICER | — |
| FRIEDMAN GREGORY HUGH | CHIEF EXECUTIVE OFFICER; CHIEF STRATEGY OFFICER; DIRECT OWNER (+3 more) | — |
| MORIARTY MICHAEL JOSEPH | CHIEF INVESTMENT OFFICER | — |
| SCHNEIDER BRETT RONALD | DIRECTOR | — |
| LIESER LORI MICHELL | VICE PRESIDENT | — |
| JONES JOSEPH | DIRECT OWNER / CO- INVESTMENT COMMITTEE CHAIR; DIRECT OWNER/CO- INVESTMENT COMMITTEE CHAIR; DIRECT OWNER/INVESTMENT COMMITTEE CHAIR (+1 more) | — |
| HULT JUSTIN KARL | CHIEF COMPLIANCE OFFICER; DIRECTOR OF INVESTMENT OPERATIONS & CHIEF COMPLIANCE OFFICER; DIRECTOR OF OPERATIONS & CHIEF COMPLIANCE OFFICER (+1 more) | — |
| LAMENA MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | — |
| SONTAG ERIC MATTHEW | PRESIDENT & CHIEF OPERATIONS OFFICER | — |
| O'MALLEY EDWARD GEORGE | DIRECTOR | — |
| HARRAH SARA D | BENEFICIARY | — |
| SHIELDS-DICKSON ANDREA L | BENEFICIARY | — |
| DEL VALLE CISCO J | CHIEF COMPLIANCE OFFICER | — |
| DOPFEL FREDERICK EDWARD | DIRECT OWNER / CO- INVESTMENT COMMITTEE CHAIR; DIRECT OWNER/CO- INVESTMENT COMMITTEE CHAIR; DIRECT OWNER / INVESTMENT COMMITTEE CHAIR | — |
| MOO VERONICA EI CHUN | DIRECTOR | — |
| PYFER CHARLES MERRYMAN | DIRECT OWNER | — |
| BOCKWOLDT WILLIAM HARRY | DIRECT OWNER | — |
| Jorstad Timothy | DIRECT OWNER | — |
| STASTNEY HOYT RONALD | CHIEF LEGAL OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/110666/brochure
- Similar advisers: https://search.stillhousedata.com/firm/110666/similar
- Related entities: https://search.stillhousedata.com/firm/110666/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/110666

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.