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Chief Compliance Officer · Oceaniq Capital, LLC

Gary S. Swiman

CRD 2637243 · Named on Form ADV at one SEC-registered adviser

At a glance

Oceaniq Capital, LLC, an SEC-registered wealth manager based in Palo Alto, CA with $334 million in regulatory assets, lists Gary S. Swiman on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

  • Oceaniq Capital, LLCChief Compliance OfficerWealth manager · Palo Alto, CA · $334M in regulatory assets

AtlasMembers

Gary’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Gary’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.