# OCEANIQ CAPITAL, LLC

OCEANIQ CAPITAL, LLC of PALO ALTO, CA is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 168062
- Type: SEC-registered investment adviser
- SEC file number: 801-113911
- Location: 1881 PAGE MILL RD., SUITE #236, PALO ALTO, CA, 94304
- Phone: (415) 432-7580
- Latest filing: 2026-06-24
- Regulatory AUM: $334.2M
- Discretionary AUM: $299.0M
- Non-discretionary AUM: $35.1M
- Clients: 7
- Accounts: 452

## Business model

- Compensation: % of AUM, Hourly, Fixed, Performance
- Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos

## Officers, owners & control persons (13)

| Name | Role | Location |
| --- | --- | --- |
| Kai Chen | MANAGING DIRECTOR; MANAGING MEMBER | Redwood City, CA |
| Ying Ying Jing | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | — |
| Gary Steven Swiman | CHIEF COMPLIANCE OFFICER | — |
| STAFF MICHAEL THEODORE | MEMBER | — |
| PURCELL JOHN PETER | MEMBER | — |
| ROOT LEON ARTHUR | CFO | — |
| FLOOD KEITH OWEN | CHIEF COMPLIANCE OFFICER | — |
| MEISSNER JULIE THERESE | CHIEF COMPLIANCE OFFICER | — |
| JING YING YING | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | — |
| CHEN KAI | MANAGING DIRECTOR; MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER; MANAGING MEMBER | — |
| LIN FUYUAN | DIRECTOR | — |
| DONG SHIGE | DIRECTOR | — |
| COLAS KEVIN LIONEL | INVESTMENT ADVISER; INVESTMENT ADVISER REPRESENTATIVE | — |


## Disclosures (16)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/168062/brochure
- Similar advisers: https://search.stillhousedata.com/firm/168062/similar
- Related entities: https://search.stillhousedata.com/firm/168062/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/168062

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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.