Leslie L. Mallman

FIVE OCEANS ADVISORS

Santa Monica, CA

Some features on this profile are disabled

CRD#: 4910477

Professional summary

Leslie Lois Mallman, who also goes by Leslie Mallman, is a registered financial advisor currently at FIVE OCEANS ADVISORS located in Santa Monica, California.

Leslie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Leslie has worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leslie Mallman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Leslie Mallman Money Coaching, Start Date: 12/22, Not Investment Related, located at 714 Cole St, SF CA 94117, Position: Owner, Teaching a class to help people with their emotions around money, 6 hours per month devoted to business, 0 during securities trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Lois Mallman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 7, 2024 - Present

FIVE OCEANS ADVISORS

RIA

CRD#: 308377

Santa Monica, CA

Past

December 22, 2016 - September 6, 2019

GROVE

RIA

CRD#: 281084

SAN FRANCISCO, CA

Past

April 15, 2015 - April 4, 2017

SKYLINE FINANCIAL ADVISORS, LLC

RIA

CRD#: 175082

SAN FRANCISCO, CA

Past

August 10, 2006 - November 30, 2009

CURI CAPITAL, LLC

RIA

CRD#: 134249

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIVE OCEANS ADVISORS

FIVE OCEANS ADVISORS | FIVE OCEANS ADVISORS LLC

CRD#: 308377 / SEC#: 801-118502

RIA

Registered Investment Advisory firm - (4/23/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(5/7/2024)

IAR

Texas
(5/7/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/9/2006

Uniform Investment Adviser Law Examination

Current Firm

FIVE OCEANS ADVISORS

FIVE OCEANS ADVISORS | FIVE OCEANS ADVISORS LLC

CRD#: 308377 / SEC#: 801-118502

RIA

Registered Investment Advisory firm - (4/23/2020 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Santa Monica, CA

Mailing Address

Phone number

(310) 507-9180

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- FIVE OCEANS ADVISORS LLC (2/21/2025)

Regulatory assets under management

Total Number of Accounts	532
AUM (Assets Under Management)	$ 408,116,922

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
12/11/2024	Cover Page	Report
01/30/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Leslie L. Mallman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Lois Mallman's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIVE OCEANS ADVISORS

GROVE

SKYLINE FINANCIAL ADVISORS, LLC

CURI CAPITAL, LLC

Primary Firm SEC Registration

FIVE OCEANS ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/9/2006

Current Firm

FIVE OCEANS ADVISORS

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIVE OCEANS ADVISORS

TRUST BUT VERIFY

Similar Advisors