Wealth manager, independent · Lake Oswego, OR
Orca Investment Management, LLC
SEC-registered investment adviser · CRD 144377 · SEC 801-68050
At a glance
Orca Investment Management, LLC is an SEC-registered investment adviser based in Lake Oswego, Oregon, with $212 million in regulatory assets under management as of its Form ADV filed May 1, 2026. Its largest client group by assets is individuals, and it reports 359 individual clients. By Form ADV it is a wealth manager, ranked 5,613th of 8,915 wealth managers and 11,962nd of 17,210 SEC-registered advisers by assets.
Main office 503-582-9500orcaim.comAs filed on Form ADV
- Regulatory AUM
- $212M
- Rank among wealth managers
- #5,613 of 8,915
- Rank among all SEC RIAs
- #11,962 of 17,210
- Rank in Oregon
- #109 of 156
- Individual clients
- 359
- High-net-worth clients
- 38
- Accounts
- 557
- Discretionary
- 96% of AUM
- Employees
- 7
- Advisory staff
- 3
- Offices
- 2
Owners and executives on its Form ADV
- Shawn P. WillardManager
- Harry L. StriplinChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Orca Investment Management, LLC is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Paulson Investment Company LLC.
- Paulson Investment Company LLC ↗CRD 5670
An introducing broker-dealer: its trades clear through Axos Clearing and Vision Financial Markets, which hold the brokerage accounts. Its annual audited report filed with the SEC, March 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 321 | $119M | 56% |
| High-net-worth individuals | 38 | $86M | 41% |
| Charitable organizations | 5 | $6M | 3% |
| Corporations or other businesses | – | $0M | <1% |
Disciplinary disclosures
Orca Investment Management, LLC answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗orcaim.com ↗
AtlasMembers
The full record on Orca Investment Management, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 6,080 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Orca Investment Management, LLC manage?
Orca Investment Management, LLC reports $212 million in regulatory assets under management across 557 accounts, 96% of it on a discretionary basis, on its Form ADV filed May 1, 2026.
What kind of firm is Orca Investment Management, LLC?
Orca Investment Management, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Orca Investment Management, LLC’s clients?
By assets, its largest client types are individuals ($119 million, 321 clients); high-net-worth individuals ($86 million, 38 clients); charitable organizations ($6 million, 5 clients).
Does Orca Investment Management, LLC have any disciplinary history?
Orca Investment Management, LLC answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Orca Investment Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-05-01), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →