G
Great Ocean Road Financial
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$6,750,000
Clients
17
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
17
TypicalAverage account size
$397,059
About
Great Ocean Road Financial is a small, independent advisory firm that provides investment management, financial planning and retirement plan consulting to individual investors and plan sponsors. The firm manages household accounts on a discretionary basis and also offers ERISA plan services, including work for pension and profit‑sharing plans.
Portfolios are tailored to client goals, time horizons and risk tolerances and typically include diversified allocations across ETFs, mutual funds, individual equities, bonds and options, drawing on a blend of fundamental, technical and quantitative analysis and modern portfolio theory. The firm documents investment objectives and provides periodic monitoring and written planning deliverables such as investment policy statements and scenario analysis.
A distinguishing feature is that the firm’s owner is a licensed CPA who operates an affiliated accounting and tax practice, and some clients may use those separate accounting services; that affiliation and the separate nature of those fees are disclosed to clients. The firm also provides limited‑scope ERISA 3(21) advisory services to retirement plans and coordinates with third‑party plan providers, an offering that is less common among solo independent advisers.
Client services
Financial planning
Portfolio management
Erisa plan services
Expertise
General retirement planning
Retirement plans for business owners (SEP, solo 401k)
Occupation focus
Founder/Business Owner
Fee options
$0 - $100,000: 1.50% $100,001 - $1,000,000: 1.00% $1,000,001 - $2,000,000: 0.75% $2,000,001 - $3,000,000: 0.60% $3,000,001+: 0.50%
Up to $600 per hour, billed in 15-minute increments, negotiable based on complexity and scope
Main office location
Great Ocean Road Financial
Lewes DE, United States
Number of offices
1
Most active in
Great Ocean Road Financial has reported serving >5 clients in these states in the last 12 months.
Delaware · Florida · Pennsylvania
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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