Southocean Capital Partners, LLC (Ft. Lauderdale)


Southocean Capital Partners, LLC is a large advisory firm based in Ft. Lauderdale. It manages $317.86 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdiction of Florida.

Southocean Capital Partners provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Southocean Capital Partners: assets under management

The assets under management (AUM) of Southocean Capital Partners, LLC is $317.86 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 315% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $317.86 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $45.41 million each.
Southocean Capital Partners has custody of $226.98 million in cash and securities for 7 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Southocean Capital Partners, LLC for their services and products based on a percentage of assets under management. 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 Southocean Capital Partners serves?

The only and largest group of clients of Southocean Capital Partners is pooled investment vehicles with 7 clients and $317.86 million of assets under management. Among the 10 most similar advisory firms, Southocean Capital Partners has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $317.86 million for 7 clients. None of the firm’s clients are foreign persons or businesses.

Southocean Capital Partners also advises several private funds. Namely, six real estate funds and one private equity fund. The minimum investment commitment required of non-related persons ranges from $50,000 to $1,000,000.

Careers at Southocean Capital Partners, LLC

The company employs 6 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. 2 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 doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Llc Hrc Investments joined the executive team most recently as the Managing Member.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
David Roth Director and secretary 1 Apr 2014 Other 6338689
David Horvitz Director and chairman 1 Apr 2014 Other 6338693
Richard M Johns Chief executive officer 1 Apr 2014 25% - 50% 6338695
Timothy E Bannon Executive vice president 1 Apr 2014 Other 6338697
Llc So Manager Managing member 1 Apr 2014 Other 46-5559138
Matthew Stephen Hardin Chief compliance officer 1 Apr 2014 Other 2366634
Llc Hrc Non-voting member 1 Apr 2014 50% - 75% 22-222222
David William Horvitz Chief executive officer, chairman, and treasurer 1 Apr 2014 Other 6338693
Timothy Edward Bannon President, director, and member 1 Apr 2014 25% - 50% 6338697
Llc Hrc Investments Managing member 1 Feb 2017 50% - 75% 61-1809003

Indirect Owners

The SEC currently registers 16 indirect owners.

Name Entity Date acquired Ownership Employer ID
Linda Roth Member 1 Apr 2014 50% - 75% 6338760
Stephen Roth Member 1 Apr 2014 25% - 50% 6338761
Emily C Roth Member 1 Apr 2014 25% - 50% 6338770
Sara Corr Member 1 Apr 2014 25% - 50% 6338773
Gregory Horvitz Member 1 Apr 2014 25% - 50% 6338782
Linda Horvitz Roth Trustee 1 Apr 2014 Other 6338760
Stephen Andrew Roth Member 1 Apr 2014 25% - 50% 6338761
Emily Charlotte Roth Member 1 Apr 2014 25% - 50% 6338770
Sara Michelle Corr Trustee 1 Apr 2014 Other 6338773
Gregory Steven Horvitz Trustee 1 Apr 2014 Other 6338782
David W. Horvitz 1999 Trust; U/T/D 3/25/91 Member 1 Apr 2014 50% - 75% xxx-xx-xxxx
Roth Family Investment Revocable Trust; U/T/D 6/26/08 Member 1 Apr 2014 50% - 75% xxx-xx-xxxx
U/T/D 5/31/12 Gregory S. Horvitz Revocable Trust Member 1 Apr 2014 25% - 50% xxx-xx-xxxx
U/T/D 7/21/13 Sara M. Corr 2013 Revocable Trust Member 1 Apr 2014 25% - 50% xxx-xx-xxxx
So Manager Llc Managing member 1 Apr 2014 Other 46-5559138
Llc Hrc Capital Non-voting member 1 Feb 2017 75% - 100% 61-1740906

Based in Ft. Lauderdale

The principal office where Southocean Capital Partners, LLC performs its advisory services is located at 401 E. Las Olas Blvd., Ft. Lauderdale, FL 33301, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 954-331-0109 or by fax 954-523-9594. The normal business hours are 8:30-5:00 on Monday - Friday. You can find more information about the New York firm at southoceancapital.com.