Oceanic Investment Management Limited (Douglas)

Name: Oceanic Investment Management Limited
Address: St. George's Court, Douglas, 1 M1 1 Ee
Telephone: +44 1624 663616

Oceanic Investment Management Limited is a large advisory firm based in Douglas. It manages $128.97 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2012.

Oceanic Investment Management Limited provides portfolio management for pooled investment vehicles and managed account. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Oceanic Investment Management Limited: assets under management

The assets under management (AUM) of Oceanic Investment Management Limited is $128.97 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -91% since the beginning of its operation, and $71.01 million of the total AUM is attributable to clients outside of the United States.

The firm manages $128.97 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $42.99 million each.

Investments

The firm invests in exchange traded securities the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Oceanic Investment Management Limited for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Alf Cato Brahde serves?

The only and largest group of clients of Alf Cato Brahde is pooled investment vehicles with 2 clients and $103.01 million of assets under management. Among the 9 most similar advisory firms, Oceanic Investment Management Limited has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $103.01 million for 2 clients. 33% of the firm’s clients are foreign persons or businesses.

Oceanic Investment Management Limited also advises several private funds. Namely, two hedge funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $1,000,000.

Careers at Oceanic Investment Management Limited

The company employs 7 people that are either part- or full-time employees. 14 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Alf Cato Brahde has been acting as President since 1 Jan 2003. George William Homan Russell joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Alf Cato Brahde	Director	1 Jan 2003	Other	5081590
Tufton Oceanic (Isle Of Man) Limited	Shareholder	1 Jan 2003	50% - 75%	foreign
Erik Andreas Lind	Director	1 Dec 2005	Other	5081588
Dymic International Incorporated	Shareholder	1 Jan 2006	Other	foreign
Christmas Common Investments Ltd	Shareholder	1 Jan 2006	Other	foreign
Lars Jonas Andreasson	Shareholder	1 Jan 2006	Other	6029656
Andreas Vergottis	Shareholder	1 Jan 2006	Other	6029659
Bjorn Rise	Shareholder	1 Jan 2006	Other	6029661
Anthony David Haynes	Director and chief compliance officer	1 May 2008	Other	6029527
George William Homan Russell	Shareholder	1 Nov 2013	Other	6465193
Andrew Charles Stone	Shareholder	1 Nov 2013	Other	6465194

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Tufton Oceanic Finance Group	Shareholder	1 Jan 2003	75% - 100%	foreign

Based in Douglas

The principal office where Oceanic Investment Management Limited performs its advisory services is located at St. George's Court, Douglas, 1 M1 1 Ee, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number +44 1624 663616 or by fax +44 1624 663918. The normal business hours are 09.00 - 17.30 on Monday - Friday. You can find more information about the New York firm at tuftonoceanic.com.