Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Southocean Capital Partners, LLC
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
HRC INVESTMENTS, LLCDirect owner · Schedule AInterest in SOUTHOCEAN CAPITAL PARTNERS, LLC
50% to < 75%
TIMOTHY EDWARD BANNONDirect owner · Schedule AInterest in SOUTHOCEAN CAPITAL PARTNERS, LLC
25% to < 50%
S&C REYNOLDS HOLDINGS, LLCDirect owner · Schedule AInterest in SOUTHOCEAN CAPITAL PARTNERS, LLC
10% to < 25%
LINDA HORVITZ ROTHDirect owner · Schedule AInterest in SOUTHOCEAN CAPITAL PARTNERS, LLC
< 5%
HRC CAPITAL, LLCIndirect owner · Schedule BInterest in HRC INVESTMENTS, LLC
75%+
DAVID W. HORVITZ 1991 TRUST; U/T/D 3/25/91, AS AMENDED AND RESTATEDIndirect owner · Schedule BInterest in HRCI MANAGER LLC
50% to < 75%
ROTH FAMILY INVESTMENT REVOCABLE TRUST; U/T/D 6/26/08Indirect owner · Schedule BInterest in HRCI MANAGER LLC
50% to < 75%
Sean Jay ReynoldsIndirect owner · Schedule BInterest in S&C REYNOLDS HOLDINGS, LLC
50% to < 75%
Courtney ReynoldsIndirect owner · Schedule BInterest in S&C REYNOLDS HOLDINGS, LLC
50% to < 75%
STEPHEN ANDREW ROTHIndirect owner · Schedule BInterest in HRC CAPITAL, LLC
25% to < 50%
GREGORY S. HORVITZ REVOCABLE TRUST, U/T/D 5/31/12, AS AMENDEDIndirect owner · Schedule BInterest in HRC CAPITAL, LLC
25% to < 50%
SARA M. CORR 2013 REVOCABLE TRUST, U/T/D 7/21/13Indirect owner · Schedule BInterest in HRC CAPITAL, LLC
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Southocean Capital Partners, LLC.
Reported ownership and control details
Form ADV · Filing date 2026-03-31 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | DAVID WILLIAM HORVITZMANAGING DIRECTOR, CHAIRMAN & TREASURERIndividual | SOUTHOCEAN CAPITAL PARTNERS, LLC | Less than 5%Code NA | Yes | MANAGING DIRECTOR, CHAIRMAN & TREASURER04/2014 | Schedule APDF page 98 |
| 2 | TIMOTHY EDWARD BANNONMANAGING DIRECTOR, PRESIDENT & CEOIndividual | SOUTHOCEAN CAPITAL PARTNERS, LLC | 25% to less than 50%Code C | Yes | MANAGING DIRECTOR, PRESIDENT & CEO04/2014 | Schedule APDF page 98 |
| 3 | HRC INVESTMENTS, LLCMANAGING MEMBERDomestic entity | SOUTHOCEAN CAPITAL PARTNERS, LLC | 50% to less than 75%Code D | Yes | MANAGING MEMBER02/2017 | Schedule APDF page 98 |
| 4 | LISA MARIE GIOVANNELLICHIEF COMPLIANCE OFFICERIndividual | SOUTHOCEAN CAPITAL PARTNERS, LLC | Less than 5%Code NA | No | CHIEF COMPLIANCE OFFICER03/2020 | Schedule APDF page 98 |
| 5 | LORRAINE GOMEZ ESTRADAVICE PRESIDENT & SECRETARYIndividual | SOUTHOCEAN CAPITAL PARTNERS, LLC | Less than 5%Code NA | No | VICE PRESIDENT & SECRETARY08/2023 | Schedule APDF page 98 |
| 6 | LINDA HORVITZ ROTHBOARD MEMBERIndividual | SOUTHOCEAN CAPITAL PARTNERS, LLC | Less than 5%Code NA | Yes | BOARD MEMBER10/2024 | Schedule APDF page 98 |
| 7 | S&C REYNOLDS HOLDINGS, LLCMEMBERDomestic entity | SOUTHOCEAN CAPITAL PARTNERS, LLC | 10% to less than 25%Code B | No | MEMBER04/2025 | Schedule APDF page 98 |
| 8 | LINDA HORVITZ ROTHTRUSTEEIndividual | ROTH FAMILY INVESTMENT REVOCABLE TRUST; U/T/D 6/26/08 | Percentage not specifiedCode F | Yes | TRUSTEE06/2008 | Schedule BPDF page 99 |
| 9 | STEPHEN ANDREW ROTHMEMBERIndividual | HRC CAPITAL, LLC | 25% to less than 50%Code C | Yes | MEMBER06/2014 | Schedule BPDF page 99 |
| 10 | EMILY C MAKARTRUSTEEIndividual | EMILY C. MAKAR REVOCABLE TRUST U/T/D 2/7/18, AS RESTATED | Percentage not specifiedCode F | Yes | TRUSTEE02/2018 | Schedule BPDF page 99 |
| 11 | SARA MICHELLE CORRTRUSTEEIndividual | SARA M. CORR 2013 REVOCABLE TRUST, U/T/D 7/21/13 | Percentage not specifiedCode F | Yes | TRUSTEE07/2013 | Schedule BPDF page 99 |
| 12 | GREGORY STEVEN HORVITZTRUSTEEIndividual | GREGORY S. HORVITZ REVOCABLE TRUST, U/T/D 5/31/12, AS AMENDED | Percentage not specifiedCode F | Yes | TRUSTEE05/2012 | Schedule BPDF page 99 |
| 13 | DAVID WILLIAM HORVITZTRUSTEEIndividual | DAVID W. HORVITZ 1991 TRUST; U/T/D 3/25/91, AS AMENDED AND RESTATED | Percentage not specifiedCode F | Yes | TRUSTEE03/1991 | Schedule BPDF page 99 |
| 14 | DAVID W. HORVITZ 1991 TRUST; U/T/D 3/25/91, AS AMENDED AND RESTATEDMEMBERDomestic entity | HRCI MANAGER LLC | 50% to less than 75%Code D | Yes | MEMBER06/2014 | Schedule BPDF page 99 |
| 15 | ROTH FAMILY INVESTMENT REVOCABLE TRUST; U/T/D 6/26/08MEMBERDomestic entity | HRCI MANAGER LLC | 50% to less than 75%Code D | Yes | MEMBER06/2014 | Schedule BPDF page 99 |
| 16 | GREGORY S. HORVITZ REVOCABLE TRUST, U/T/D 5/31/12, AS AMENDEDMEMBERDomestic entity | HRC CAPITAL, LLC | 25% to less than 50%Code C | Yes | MEMBER06/2014 | Schedule BPDF page 99 |
| 17 | SARA M. CORR 2013 REVOCABLE TRUST, U/T/D 7/21/13MEMBERDomestic entity | HRC CAPITAL, LLC | 25% to less than 50%Code C | Yes | MEMBER06/2014 | Schedule BPDF page 99 |
| 18 | HRCI MANAGER LLCMANAGING MEMBERDomestic entity | HRC INVESTMENTS, LLC | Percentage not specifiedCode F | Yes | MANAGING MEMBER02/2017 | Schedule BPDF page 99 |
| 19 | HRC CAPITAL, LLCNON- MANAGING MEMBERDomestic entity | HRC INVESTMENTS, LLC | 75% or moreCode E | Yes | NON- MANAGING MEMBER02/2017 | Schedule BPDF page 99 |
| 20 | DAVID WILLIAM HORVITZMANAGERIndividual | HRCI MANAGER LLC | Percentage not specifiedCode F | Yes | MANAGER06/2014 | Schedule BPDF page 99 |
| 21 | LINDA HORVITZ ROTHMANAGERIndividual | HRCI MANAGER LLC | Percentage not specifiedCode F | Yes | MANAGER10/2024 | Schedule BPDF page 99 |
| 22 | EMILY C. MAKAR REVOCABLE TRUST U/T/D 2/7/18, AS RESTATEDMEMBERDomestic entity | HRC CAPITAL, LLC | Percentage not specifiedCode F | Yes | MEMBER04/2021 | Schedule BPDF page 99 |
| 23 | Sean Jay ReynoldsMANAGER AND MEMBERIndividual | S&C REYNOLDS HOLDINGS, LLC | 50% to less than 75%Code D | Yes | MANAGER AND MEMBER01/2022 | Schedule BPDF page 99 |
| 24 | Courtney ReynoldsMEMBERIndividual | S&C REYNOLDS HOLDINGS, LLC | 50% to less than 75%Code D | Yes | MEMBER01/2022 | Schedule BPDF page 99 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 3/31/2026 3:42:11 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.