← Directory
SOUTH OCEAN MANAGEMENT LTD.
CRD 111180File 801-41804
APPROVED
Retail clients
Custody
Filing as of Mar 27, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$13.4M
Bottom 25% of cohort (national)
Discretionary AUM
$11.8M
Non-discretionary $1.5M
Clients
19
19 accounts
Employees
4
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- HQ
- Registration date
- Jul 27, 1992
- Principal office
- 15E 15/F, THE PHOENIX BUILDING, 23 LUARD ROAD, WANCHAI
- Phone
- 852-2521-0332
- Website
- HTTP://WWW.SOUTH-OCEAN.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $13.4M
- Discretionary AUM
- $11.8M
- Non-discretionary AUM
- $1.5M
- Discretionary accounts
- 17
- Non-discretionary accounts
- 2
- Total accounts
- 19
- AUM per client
- $704K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 17 | $11.8M |
| Pooled investment vehicles | 2 | $1.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- Yes
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | AUM | $10,864,959 | $13,370,977 | increased by$2,506,018 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $10,082,982 | $10,864,959 | increased by$781,977 |
| Apr 1, 2022 | AUM | $13,523,490 | $10,082,982 | decreased by$3,440,508 |
| Sep 1, 2021 | Clients | 17 | 19 | increased by2 |
| Sep 1, 2021 | Accounts | 17 | 19 | increased by2 |
| Aug 1, 2021 | Custody | No | Yes | |
| Aug 1, 2021 | Clients | 19 | 17 | decreased by2 |
| Aug 1, 2021 | Accounts | 19 | 17 | decreased by2 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SOUTH OCEAN” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SOUTH OCEAN” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.