OCEANIQ CAPITAL, LLC of PALO ALTO, CA is an SEC-registered investment adviser (CRD 168062). Regulatory assets under management: $334.2M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos.
| 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 | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| — | regulatory | — | — | — |