Blue Ocean Capital

Blue Ocean Capital, established on October 13, 1997, is an SEC-registered investment adviser offering investment supervisory services with discretionary assets under management totaling $456,800,000 as of December 31, 2022. The firm's services include investment strategy, asset allocation, risk assessment, and regular portfolio monitoring tailored to individual client goals and risk tolerance levels. Clients' portfolios are primarily managed on a discretionary basis, with the firm selecting investments and executing transactions without prior client approval. Blue Ocean Capital may also offer non-discretionary services based on client needs. The firm invests in various securities such as mutual funds, equities, bonds, ETFs, and others to diversify portfolios. Clients may impose restrictions on certain investments based on personal values. Blue Ocean Capital may recommend third-party money managers and private funds, with a minimum account size requirement of $1 million for investment supervisory services. The firm charges fees based on a tiered structure, with an annual fee ranging from 1.00% to 0.30% based on assets under management. Additionally, Blue Ocean Capital provides family office services, financial planning, tax, and accounting services. The firm operates as a fiduciary, acting in the best interests of clients, and does not accept performance-based fees. Clients include individuals, high-net-worth individuals, pension plans, trusts, estates, charitable organizations, and corporations, with a minimum account size of $1 million. Blue Ocean Capital uses fundamental analysis and modern portfolio theory to construct diversified portfolios, considering clients' financial goals and risk tolerance. The firm has no disciplinary actions to disclose and provides full custody services, with client accounts reviewed quarterly. Clients receive account statements directly from the custodian and are urged to compare them with reports from Blue Ocean Capital for accuracy.