Ocean Tomo Asset Management, LLC (Chicago)

Name: Ocean Tomo Asset Management, LLC
Address: 200 West Madison St., Chicago, IL, 60606 3414
Telephone: 312-327-4400

Ocean Tomo Asset Management, LLC is a large advisory firm based in Chicago. It manages $41 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdiction of Illinois.

Ocean Tomo Asset Management provides portfolio management for pooled investment vehicles and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ocean Tomo Asset Management: assets under management

The assets under management (AUM) of Ocean Tomo Asset Management, LLC is $41 million. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1 million in discretionary accounts and $40 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $40 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ocean Tomo Asset Management, LLC 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.

Careers at Ocean Tomo Asset Management, LLC

Keith Matthew Cardoza has been acting as President since 1 May 2006. Llc Ocean Tomo Capital joined the executive team most recently as the Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Keith Matthew Cardoza	President	1 May 2006	Other	2180952
Llc Ocean Tomo Capital	Member	1 May 2006	75% - 100%	90-0135394
Jason Lee Gardner	Chief compliance officer	1 May 2006	Other	2231409
Raymond Millien	Secretary	1 May 2006	Other	5146930

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
James Edward Malackowski	Member	1 Jun 2003	50% - 75%	4797705
Llc Ocean Tomo	Member	1 Aug 2005	75% - 100%	06-1698377

Based in Chicago

The principal office where Ocean Tomo Asset Management, LLC performs its advisory services is located at 200 West Madison St., Chicago, IL 60606 3414, which is also the mailing address of the firm. An additional office of the firm is in Bethesda, MD. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-327-4400 or by fax 312-327-4401. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at oceantomo.com/public_equity.html.