S
Sea Breeze Analytics
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Clients per advisor
0
Average account size
—
About
Sea Breeze Analytics provides personalized investment management services to individuals, high‑net‑worth individuals, and small businesses, working with clients to identify investment objectives, constraints, and an agreed asset allocation. Although many investment-manager firms focus on pooled or institutional mandates, the brochure reports the firm currently manages no client assets and uses a percentage‑of‑AUM fee model.
The firm’s investment process combines fundamental, quantitative, and statistical analysis — including timing models and charting — to implement strategic asset allocation and portfolio diversification, typically on a discretionary basis under a limited power of attorney. Sea Breeze Analytics operates as a fee‑only adviser, does not accept commissions or performance‑based fees, and places client assets with qualified custodians.
Distinctive features include the firm’s explicit focus on serving both non‑HNW and high‑net‑worth individual clients, which is uncommon among firms in this category, and a principal with an engineering and quantitative background who has developed proprietary analysis programs. The firm is organized as a sole proprietorship, currently reports no AUM, and notes ancillary part‑time technical consulting activity, all of which are atypical for peer investment managers.
Client services
Portfolio management
Expertise
Active portfolio management
Private / alternative investments
Options & derivatives strategies
Fee options
$0 - $200,000: 1.50% annually Above $200,000+: 1.0% on amount over $200,000
Minimum fee: $250 registration fee charged when initial contract is signed Fee-only: Sea Breeze Analytics is strictly a fee-only investment management firm; no commissions or other compensation accepted
Main office location
Sea Breeze Analytics
San Carlos CA, United States
Number of offices
1
Most active in
Sea Breeze Analytics has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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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