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After completing his graduation in commerce from Bhavnagar in 2002, Samir Vora took up a job at Karvy Stock Broking in Mumbai. After tying the knot in 2011 he decided to move to his hometown. In Ahmedabad, he got an opportunity to work with ICICI Securities where he was responsible for building the independent financial adviser network. After his 12-year stint in sales, Samir decided to take the entrepreneurial plunge as he had developed a good understanding about products, sales and investors. Samir was drawing a salary of Rs 18 lakh per annum from his last job. He thought that an AUM of Rs 25 crore would help replace this income.

Company Introduction

We are a 7-year-old, Wealth Management, and Financial Service providing company handling the portfolios of families, investors, and corporates. Our clients include HNI individuals, institutional investors, corporates, trusts, foundations, and celebrities.

Ocean Finvest emphasizes relationships and a culture that maintains on solid orientation towards excellence. Our functioning involves a complete analysis of an individual's portfolio; post that, we educate them about their existing investments and risk managing insurance policies. Finally, we work for the progress by providing customized services and solutions.

Our organization stands on the foundation of the longstanding experience of the founder and the team. Our core values are trust and integrity with which, we believe in adding value to our client's portfolios.

Initial Journey

He started building his client base, who were mostly his industry friends and acquaintances. After a few months, he realized that he could achieve more than Rs 25 crore AUM, given the huge potential. Since then, there has been no looking back.

In the first year, he built an AUM of Rs 25 crore by operating from his home. He realized that he has to have an office and a marketing strategy in order to reach his target audience – high net worth individuals. “I have observed that distributors are sometimes averse to approaching HNIs as they think that bankers and wealth managers are already advising them. But wealth managers usually sell structured products and portfolio management services, or, PMS to such clients. This is why I started focusing on this segment by offering them mutual funds,” says Samir.

After reaching Rs 25 crore assets in the first year, he set up his first Branch of Ocean FINVEST in November 2014 in Ahmedabad.

He started approaching the marwadi community, chartered accountants, doctors, cloth merchants by offering them to advice on their existing portfolio. “I had to be different from other distributors. If you come across as any other agent selling mutual fund you may not get business. Thus, I did not try to push any product. I talked about offering research-based advice,” explains Samir.

Focus on Research

To strengthen research capabilities, Ocean Finvest started using Morningstar Advisor Workstation, or AWS, from June 2016. “One feature which I found extremely useful is Portfolio X Ray. After uploading prospects existing portfolio in AWS, I get a 360-degree view of the complete portfolio - stock/sector overlap, alpha, beta, and Sharpe and treynor ratio of the portfolio. It shows where I can fill the gap by either removing or adding new funds. Prospects get impressed by looking at the depth of these reports. They know that the advice is unbiased because of the scientific approach. It has helped me convert many HNI clients,” says Samir.

We at Ocean Finvest after the introduction of direct plans and Registered Investment Adviser model, realised the potential of direct plans. “The popularity of direct plans is on the rise. So we thought why not offer direct plans and charge an advisory fee. We present both options (regular and direct) to clients and let them choose the model they are comfortable with,”. We have Rs 200 crore in regular plans and Rs 280 crore in direct assets.

Besides mutual funds, insurance and structured products, he also offers bonds from the secondary market. His research team carries out an internal due diligence of different bonds floated by companies. “We prefer to sell highly rated quality paper. We avoid recommending bonds which offer the highest returns. As best practice, we tend to rely on our internal research rather than the ratings of research firms. We have not faced any defaults yet,” says Samir.

Analyst Ratings: Five Pillar Framework

Our five pillar research framework reinforces a consistent, long term investment process and gives investors/ advisors/gatekeepers/consultants the resources they need to provide justified recommendations that are well suited to clientneeds.

We consider all of analysts, traders, and other managers who contribute to the process them when rating people. We think about what advantages they have over their peers along the lines of expertise, experience, and demonstrated skill. We will also look at how other funds at the family have done to assess firm wide expertise. We follow analyst movements at the firm so we know how experienced they are and whether there's turmoil or stability in the ranks.

There’s an enormous variety of fund strategies even within a category, and we drill down to really understand the differences. Competitive advantages are a key way to look at it. Is the manager doing something that anyone can do or are they doing things that are hard to replicate? Is the strategy a proven one or a new, untested formula? Firms with resources and proven track record give us confidence in fund house

When you invest for the long haul, you realize just how important the company behind the fund is. We look at manager turnover at the firm, the investment culture, and quality of research, ethics, directors, SEC sanctions, and more. If you hold a fund for 15 years, you want stable management that will be there the whole way through. And also whether they have been able to retain parent and get new talent as well

When we talk about performance only one things comes to mind is only return, if return is good the fund is good and if return is bad the fund is bad, but that is not how we look at the fund we spend time trying to understand why a fund performed a certain way and link the performance back to its root cause: the strategy and holdings. We care about how a fund has performed in different market environments, its risk profile, and consistency of returns over time.

We look at a fund's expenses relative to its peer group and its sales channel. We also take into context its asset size and in some cases its trading costs if they are particularly high or low. It's also important to consider a fund's costs in light of its strategy. In this we evaluate expense ratio .if all four pillar are same for two securities and expenses ratio of one security is high and expense ratio of other is low then we always go for security with low expenses ratio.

Three-pronged marketing strategy

Let’s look at the three strategies which have helped us acquire clients.


Besides referrals, we also gets clients from Tellecalling. While this marketing tool sounds out-dated in the era of social media and technology, “ We at ocean finvest have a well-qualified team having MBA qualifications who do this job. They don’t talk about products and are not pushy. Rather, they talk about the services offered by our company and how we can help them reach their financial goals,” . Apart from salary, we offers incentives and profit-sharing to our team if the branch breaks even.

Branch offices

We have been expanding practice by adding branch offices. We identify the city which offers the maximum business opportunity. One of the key parameters we look at while identifying cities is the bank deposit saving rate. Higher the saving rate, bigger the opportunity to transition people towards mutual funds. To make further inroads into HNI segment, expanding the physical reach is our focus area. “Retail book can be expanded through technology but HNI need the touch and feel. So having branch office is essential to tap into this market, the break-even time for a branch depends on the city and the cost.

Currently Ocean Finvest are having its Branches at Ahmedabad, Bhavnagar, Himatnagar, Mumbai, Rajkot, Surendranagar, Surat , Bhopal , Pune .

Digital Marketing

We are using social media platforms like Quora, Blogs LinkedIn, Facebook, Twitter and search engine optimization actively to increase firm’s visibility. We have dedicated team which continuously generates new ideas to drive this activity.

Our business has grown by leaps and bounds by deploying these three strategies. Today, we have a team of extremely talented professionals across nine locations - Bhavnagar, Jamnagar, Ahmedabad, Baroda, Surat, Valsad and Mumbai, Bhopal, Pune. And we get a lot of leads from social media marketing.

Awards & Recognition

Who is behind OCEAN FINVEST?

Ocean Finvest is led by a dynamic team of Financial & Wealth Management experts.

Total Work Exp: 19 Years +

  • Graduate from Gujarat University - Bachelor of Commerce
  • Worked with ICICI Securities Ltd.


Founder & Chief Executive Officer

Total Work Exp: 4 Years +

  • Graduate from Gujarat University - Bachelor of Commerce
  • Worked with ICICI Securities Ltd.


Business Partner

Total Work Exp: 7 Years +

  • Graduate from Gujarat University - Bachelor of Commerce
  • Worked with ICICI Securities Ltd.


Business Partner

Total Work Exp: 8.5 Years +

  • MBA in Finance
  • Work Experience with SBI MF, ICICI Prudential MF, Aditya Birla Sunlife MF.


Business Partner

Total Work Exp: 7 Years +

  • Graduate in Health & Nutrition
  • 5 years experience in Health Industry
  • 2 years into IT sector.


Business Partner

Total Work Exp: 5 Years +

  • Graduate from H.L. Institute of Commerce, Ahmedabad University - Bachelor of Commerce
  • Certified as Chartered Accountant from ICAI Articleship training at Talati & Talati CA Firm, Pankaj R Shah & Co.


Business Partner

Technological Ease

We have built all technological and service capabilities to help our investors to have a seamless experience. For instance, we have mobile app, a website with chat facility and a client service support team. All of his transactions happen online through BSE Star MF platform. He has been one of the top volume contributors on BSE STAR MF.

Road Ahead

Our firm Ocean Finvest serves 3000+ clients which includes both families , trust , foundation and corporate . We have ambitious plans. We aims to have 100 POS by 2025 entirely self-funded which covers 85+ geographical, areas. We are also is planning to add more branches in existing cities where he has offices which are providing high volume and is looking for newer cities. These branches will help him expand his HNI client base.

Our firm also has a healthy book of Rs 180 crore in alternate funds and PMS and 1000 crore of fixed income which includes Bonds, Debenture and more. Having gained expertise in advising third party products, Samir wishes to become a manufacturer. In the next five years, he plans to apply for a PMS license. For this, he is building his firm’s intellectual capital.