Kai Chen

Employer firm

Oceaniq Capital, LLC CRD 168062

$334M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2013 → Present
  Oceaniq Capital, Llc
  San Francisco, CA
• 05/2025 → Present
  Fnex Capital
  Indianapolis, IN

Previous Registrations

• 2013-10-03 → 2018-12-31
  Oceaniq Capital, Llc
  Palo Alto, CA
• 2003-01-17 → 2013-11-26
  Credit Suisse Securities (Usa) Llc
  San Francisco, CA
  San Francisco, CA
• 2002-08-20 → 2003-01-17
  Pershing Llc
  San Francisco, CA

Other Businesses

NAME OF OTHER BUSINESS: OCEANIQ CAPITAL, LLC INVESTMENT-RELATED (Y/N): Y ADDRESS: 100 PINE STREET, SUITE 2700, SAN FRANCISCO, CA 94111 NATURE: SEC REGISTERED INVESTMENT ADVISOR - PROVIDE INVESTMENT ADVISORY SERVICES POSTION, TITLE OR RELATIONSHIP: PRINCIPAL - MANAGING MEMBER START DATE: 10/01/2013 # OF HRS/MTH: 60 # OF HRS/MTH DURING TRADING HRS: 40 DUTIES: INVESTMENT ADVICE

Exams

• S63 Uniform Securities Agent State Law Examination
  2025-04-14
• S66 Uniform Combined State Law Examination
  2001-11-03

Other Names

• Kai Chen
• Szukai Chen
• Szu-Kai Chen
• Kai Chen
• Kai Nmn Chen