It’s National Rubber Duck Day!

In celebration of National Rubber Duck Day, Ocean Park Asset Management doubles down on disciplined risk management with its duck mascot, Sortino.

LOS ANGELES--(BUSINESS WIRE)--Ocean Park Asset Management is entering 2026 focused on what has long defined its investment approach: disciplined risk management.

As markets grapple with elevated valuations, increased concentration, and uncertainty around monetary policy, the firm celebrates National Rubber Duck Day today, January 13^th, as a fun way to highlight its philosophy.

While some see the rubber duck as a toy, Ocean Park sees a philosophy rooted in a simple idea that has guided its investment process for decades: When risk comes at you, you “duck.”

A Symbol of Discipline, Not Decoration

In 2025, Ocean Park formally introduced Sortino, the rubber duck, to create a tangible expression of its investment philosophy. The name is a nod to the Sortino ratio, a widely used risk-adjusted performance measure that focuses specifically on downside risk rather than overall volatility, closely aligned with the firm’s emphasis on capital preservation.

“Sortino is a visual reminder of how we think about risk,” said Vanda Freesman, Chief Marketing Officer at Ocean Park. “Our process is designed to participate in uptrends, but just as importantly, to respond decisively when markets turn. The duck helps communicate that discipline in a way that’s approachable and easy to remember.”

The duck campaign’s clarity and creativity have been recognized across the industry, earning recognition in three notable award programs in 2025, including the ThinkAdvisor Luminaries Awards, the MMI/Barron’s Industry Awards, and the Financial Communications Society (FCS) Portfolio Awards.

A Philosophy Built for Changing Markets

Ocean Park’s investment process combines trend-following, diversified security selection, and a proprietary Trailing Stop Discipline*, which seeks to limit drawdowns by selling when predefined signals indicate a downtrend. In the absence of uptrends, portfolios may move partially or entirely to cash, up to 100%, without speculation or market timing.

As 2026 kicks off and markets continue to grapple with elevated valuations and ongoing uncertainty, the firm believes disciplined risk management remains especially important.

“Markets are entering a period where expectations are high, and the path of monetary policy is becoming less clear,” said James St. Aubin, Chief Investment Officer at Ocean Park. “In that environment, disciplined risk management is more important than ever. Our process is built to respond to market trends as they develop, managing downside risk without emotion or speculation. Sortino reflects that mindset. Preparation over prediction.”

From Symbol to Platform

What began as a simple visual metaphor has evolved into a broader storytelling platform across advisor education, events, digital content, and product communications. As the firm looks to the year ahead, Sortino will continue to anchor efforts to clearly communicate Ocean Park’s disciplined, risk-aware approach to investing.

More information on Ocean Park’s investment offerings and suite of ETFs — DUKQ, DUKX, DUKZ, and DUKH — can be found at OceanParkAM.com.

About Ocean Park Asset Management

Ocean Park Asset Management, LLC is an SEC registered investment adviser that serves as an investment advisor to an investment company registered under the Investment Company Act of 1940, where it provides investment management services to Mutual Funds and Exchange Traded Funds (ETFs), namely the Ocean Park Mutual Funds and the Ocean Park ETFs. Registration as an investment adviser does not imply a certain level of skill or training. Ocean Park manages nearly $5 billion of client assets as of 12/31/24.

RISKS and DISCLOSURES

*Trailing Stop Discipline (“Discipline”): This proprietary Discipline has the objective of limiting the magnitude for portfolio drawdowns. The Discipline is based on a manual process that defines sell levels/signals for security holdings in decline, as measured by its price falling below the recent high of its lower band. These are not market orders. Ocean Park utilizes this Discipline directly in the management of non-affiliated holdings. Where Ocean Park invests in its affiliated Ocean Park Mutual Funds or Ocean Park ETFs (“Affiliated Funds”), the same Discipline is applied at the underlying funds level, not on the Affiliated Funds themselves. Please see our Form ADV Part 2A for information on conflicts of interest that exist as a result of Ocean Park investing in Affiliated Funds.

Award criteria: Ocean Park Asset Management was named a winner in December 2025 for the ThinkAdvisor Luminaries Awards, based on work completed over the past 18 months. The award is organized and tabulated by ThinkAdvisor’s editorial staff and Luminaries advisory board with no application or participation fee required.

Award criteria: Ocean Park Asset Management was named a finalist in July 2025 for the MMI/Barron’s Awards, based on work completed from June 2024 to present. The award is organized and tabulated by the Money Management Institute in partnership with Barron’s with no application or participation fee required. As an MMI member firm, Ocean Park does pay membership fees not related to or taken into consideration for this award.

Award criteria: Ocean Park Asset Management was named a winner in May 2025 for the 2025 FCS Portfolio Awards, based on work completed from June 2024 to present. The award is organized and tabulated by the Financial Communications Society. All entries require a fee for consideration.

These awards are not based on investment advisory services or performance.

Advisory services are offered through Ocean Park Asset Management, LLC, a registered investment adviser (“RIA”) regulated by the U.S. Securities and Exchange Commission (“SEC”). The advisory services are only offered in jurisdictions where the RIA is appropriately registered. The use of the term “registered” does not imply any particular level of skill or training and does not imply any approval by the SEC. For information pertaining to the registration status of Ocean Park Asset Management, LLC, please call 1-844-727-1813 or refer to the Investment Adviser Public Disclosure website (www.adviserinfo.sec.gov).

Past performance does not guarantee future results and there is no guarantee that any investment strategy will achieve its objectives, generate profits, or avoid losses.

Investors should carefully consider the investment objectives, risks, charges, and expenses of the Ocean Park Mutual Funds and Ocean Park ETFs (collectively, “Ocean Park Funds”). This and other information about the Ocean Park Funds are contained in the prospectus and should be read carefully before investing. The prospectus can be obtained by calling toll free 1-866-738-4363 (1-866-RETI-FND). The Ocean Park Funds are distributed by Northern Lights Distributors, LLC, member FINRA/SIPC. Ocean Park Asset Management, LLC is not affiliated with Northern Light Distributors, LLC.

There is no guarantee that any investment strategy will achieve its objectives, generate profits, or avoid losses.

IMPORTANT FUND RISKS

While the shares of ETFs are tradeable on secondary markets, they may not readily trade in all market conditions and may trade at significant discounts in periods of market stress. ETFs trade like stocks, are subject to investment risk, fluctuate in market value and may trade at prices above or below the ETF’s net asset value. Brokerage commissions and ETF expenses will reduce returns. There is no guarantee that the Fund will achieve its objective. ETFs are subject to specific risks, depending on the nature of the underlying strategy of the fund. These risks could include liquidity risk, emerging markets risk, foreign market risk, sector risk, as well as risks associated with fixed income securities, real estate investments, and commodities, to name a few.