SourcingSourcing

ORCA INVESTMENT MANAGEMENT, LLC

A69
CRD 144377·SEC 801-68050·LAKE OSWEGO, OR
AUM
$211.7M
$100M-$500M
Est. Revenue
$2.1M
@ 1% on AUM
Est. EBITDA
$635K
@ 30% margin
Est. Deal Value
$5.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ORCA INVESTMENT MANAGEMENT, LLC
CRD
144377
SEC file #
801-68050
EIN
271604764
DBA names
—

Economics

AUM
$211.7M
AUM band
$100M-$500M
AUM trajectory
'20'26
$142.5M → $211.7M▲ +48%
Client mix
Individuals Other321
Individuals High Net Worth38
Charitable Organizations5

Operations

Employees (total)
7
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
4 advisors → 3 advisors▼ -25%
Primary office
LAKE OSWEGO OR
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMFixed feesOther Compensation

Filings

Latest ADV filing
03/03/2026
ADV-W filed at
—
Website
orcaim.com

Compliance

Disclosures (firm)
1
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
PAULSON CAPITAL HOLDING COMPANY,
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
PAULSON CAPITAL HOLDING COMPANY,
Striplin, Harry, Lynn
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
ORCAIM.COM
Rdap Domain Creation Date
2010-01-06T03:15:33Z
Rdap Firm Age Years
16
Rdap Firm Age Band
10-20y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001511229
Edgar Registered
Yes
Edgar Filing Count
56
Edgar First Filing Date
2011-01-31
Edgar Last Filing Date
2026-04-23
Edgar 13f Count
46
Edgar 13f Latest AUM Estimate
Filing Date2026-04-23
Accession0001104659-26-047339

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
8
Bc Firm Active IA Count
11
Bc Firm IAR Count
11
Custodian Candidates
Full
Charles Schwab6
Pershing4
E*trade4
Edgar Addresses
Mailing
6 CENTERPOINTE DRSUITE 300LAKE OSWEGO, OR 97035
Business
6 CENTERPOINTE DRSUITE 300LAKE OSWEGO, OR 97035
Edgar EIN
271604764
Edgar Recent Filings
13F-HR2026-04-23 · 0001104659-26-047339
13F-HR2026-01-20 · 0001104659-26-004940
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-01-06T03:15:33Z
Rdap Domain Last Changed
2023-11-06T20:40:19Z
Rdap Nameservers
Ns-1212.awsdns-23.orgNs-1756.awsdns-27.co.ukNs-428.awsdns-53.comNs-671.awsdns-19.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (11)

11
WILLARD, SHAWN, PATRICK
IAR · Executive Officer · 2.5%
2430899
Striplin, Harry, Lynn
IAR · Executive Officer · 2.5%
1023235
ROGER KEITH THOMAS
IAR
4377628
WILLIAM GEORGE BARHAM
IAR
12438
JOHN ANTHONY NOLE
IAR
1609191
David Allen Maisel
IAR
1865794
PETER RAYMOND FOGARTY
IAR
1889799
Nicholas Dimitri Lailas
IAR
7601478
NICOH RYAN ALDAY
IAR
7459835
Jamal Clarke
IAR
7191635
Ali Shahhosseini
IAR
6503781