Oc Private Capital, LLC (New York)

Oc Private Capital, LLC is a large advisory firm based in New York. It manages $120.7 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Colorado and New York.

Oc Private Capital provides portfolio management for investment companies, selection of other advisers, and asset allocation. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Oc Private Capital: assets under management

The assets under management (AUM) of Oc Private Capital, LLC is $120.7 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -9% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $120.7 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $120.7 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Oc Private Capital, 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 Justin Plouffe serves?

The only and largest group of clients of Justin Plouffe is investment companies with 1 clients and $120.7 million of assets under management. Among the 9 most similar advisory firms, Oc Private Capital has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $120.7 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Oc Private Capital doesn't advise any private funds.

Careers at Oc Private Capital, LLC

Justin Plouffe has been acting as President since 1 Oct 2017. Inc. Invesco Advisers joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Justin Plouffe	Director	1 Oct 2017	Other	6223477
Inc. Ofi Global Institutional	Member	1 Oct 2017	50% - 75%	110363
The Carlyle Group	Member	1 Oct 2017	25% - 50%	111128
Kamal Bhatia	Ceo, director and chairman	1 Oct 2017	Other	4933060
Krishna Kumar Memani	Director	1 Oct 2017	Other	1771194
Stephen Christopher Volpe	Chief compliance officer	1 Oct 2017	Other	4841494
Tony Donghui Oh	Chief financial officer	1 Oct 2017	Other	4947989
M. Timothy Corbett	Director	1 Oct 2017	Other	4633377
Mark David Jenkins	Director	1 Oct 2017	Other	2529058
Andrew Peters	Chief risk officer	1 Feb 2018	Other	6904827
Rohit Vohra	Chief operating officer	1 Feb 2018	Other	4163828

Indirect Owners

The SEC currently registers 19 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Massachusetts Mutual Life Insurance Company	Member	1 Nov 1984	75% - 100%	04-1590850
Oppenheimer Acquisition Corp	Shareholder	1 Oct 1990	75% - 100%	84-1149206
Mm Asset Management Holding Llc	Shareholder	1 Oct 1990	75% - 100%	45-4000072
Oppenheimer Acquisition Corp (Gatc)	Shareholder	1 Oct 1990	75% - 100%	84-1853679
Tc Group Llc	Member	1 Dec 2000	75% - 100%	54-1686957
Oppenheimerfunds Inc	Shareholder	1 Feb 2001	75% - 100%	104983
Oppenheimerfunds Inc	Shareholder	1 Dec 2001	75% - 100%	104983
Invesco Holding Company Limited	Sole shareholder	1 Jan 2002	75% - 100%	98-0407710
Invesco Ltd.	Sole shareholder	1 Jan 2002	75% - 100%	98-0557567
Carlyle Group Management L.L.C.	General partner	1 Jul 2011	Other	45-2831199
Massmutual Holding Llc	Member	1 Nov 2011	75% - 100%	04-2854319
Carlyle Holdings I Gp Sub L.L.C.	General partner	1 Nov 2011	Other	61-1675874
Carlyle Holdings I Gp Inc.	Member	1 Nov 2011	75% - 100%	80-0784146
L.P. The Carlyle Group	Shareholder	1 Nov 2011	75% - 100%	45-2832612
Lp Carlyle Holdings I	Member	1 May 2012	75% - 100%	80-0784309
Inc. Invesco Group Services	Sole shareholder	1 Jun 2018	75% - 100%	58-1995394
Inc. Invesco Advisers	Shareholder	1 May 2019	75% - 100%	105360
Inc. Ofi Global Asset Management	Sole shareholder	1 May 2019	75% - 100%	161556
Inc. Invesco Holding Company (Us)	Sole shareholder	1 May 2019	75% - 100%	58-2287224

Based in New York

The principal office where Oc Private Capital, LLC performs its advisory services is located at 225 Liberty Street, New York, NY 10281, 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 212-323-0200. The normal business hours are 9:00am - 5:00pm on Monday - Friday.