Spring Ocean Capital LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$2,193,000
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
5
Very LowAverage account size
—
About
Spring Ocean Capital provides discretionary portfolio management to individuals, families, businesses and institutional clients, constructing portfolios primarily in U.S. and Canadian equities, ETFs, mutual funds and fixed‑income securities. The firm’s client mix explicitly includes non‑high‑net‑worth and high‑net‑worth individuals as well as corporate entities, a broader client base than is typical for many firms in its category.
The investment process combines fundamental equity valuation with a proprietary quantitative portfolio‑optimization model to select undervalued stocks and set allocations. Trades are executed on a discretionary basis and the firm may employ derivatives, short sales and margin/borrowed securities to implement or hedge positions; advisory fees are charged as a percentage of assets under management and billed quarterly.
The lead investment professional holds advanced quantitative training (a Ph.D. in optimization) and the CFA charter and co‑invests alongside client accounts, aligning personal exposure with client strategies. Compared with many peers, the firm is small in scale (about $3.1 million in assets under management), requires clients to use a designated custodian (Interactive Brokers) and emphasizes active quantitative modeling combined with occasional leverage and shorting while serving both individual and corporate clients.
Client services
Portfolio management
Expertise
Active portfolio management
Factor investing / smart beta
Fee options
$0 - $300,000: 1.25% $300,000 - $700,000: 1.00% $700,000 - $5,000,000: 0.75% $5,000,000 - $10,000,000: 0.50% $10,000,000+: negotiable
Account minimum: $50,000 Fee-only: Fee-only advisor; no commissions or transaction fees received by firm.
Main office location
Spring Ocean Capital LLC
160 W Orange Hill Cir
Chagrin Falls OH 44022, United States
Number of offices
1
Most active in
Spring Ocean Capital LLC has reported serving >5 clients in these states in the last 12 months.
Ohio · Texas
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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