{
  "crd_number": 106293,
  "slug": "oak-financial-group-inc-stamford-ct-106293",
  "primary_business_name": "OAK FINANCIAL GROUP INC",
  "legal_name": "OAK FINANCIAL GROUP INC",
  "dbas": [],
  "city": "Stamford",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "14860",
  "metro": {
    "cbsa_code": "14860",
    "common_name": "Bridgeport",
    "msa_name": "Bridgeport-Stamford-Danbury, CT",
    "path": "/advisors/ct/bridgeport"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1992-03-06",
  "years_registered": 34,
  "period": "2026-10-01",
  "filing_date": "2026-03-17",
  "carried_forward": false,
  "raum_total": 177156936.0,
  "raum_discretionary": 175077266.0,
  "raum_non_discretionary": 2079670.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 4,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": null,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 38854482.0,
      "count": 42
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "state_municipal": {
      "raum": null,
      "count": null,
      "fewer_than_5": true
    },
    "insurance_companies": {
      "raum": null,
      "count": null,
      "fewer_than_5": true
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 8469203.0,
      "count": 9
    },
    "other_investment_advisers": {
      "raum": null,
      "count": null,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 129833251.0,
      "count": 80
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": null,
      "count": null,
      "fewer_than_5": true
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": null,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "pension_consulting",
    "periodicals_newsletters",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "CT",
    "FL",
    "MA",
    "MD",
    "NC",
    "NH",
    "NJ",
    "NY",
    "TX",
    "VT"
  ],
  "websites": [
    "https://oakfingroup.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106293",
  "city_as_filed": "STAMFORD",
  "url": "https://advisorcensus.com/firm/oak-financial-group-inc-stamford-ct-106293",
  "display_name": "Oak Financial Group Inc",
  "summary": "Oak Financial Group Inc is an SEC-registered investment advisory firm in Stamford, CT, registered since 1992, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 17, 2026.",
  "citation": "AdvisorCensus. Oak Financial Group Inc (CRD 106293): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Publication of periodicals or newsletters",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Oak Financial Group Inc compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Oak Financial Group Inc reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Oak Financial Group Inc located?",
      "a": "Oak Financial Group Inc's principal office is in Stamford, CT, according to its Form ADV."
    },
    {
      "q": "Is Oak Financial Group Inc registered with the SEC or a state?",
      "a": "Oak Financial Group Inc is an SEC-registered investment advisory firm, registered since 1992. Status as filed: Approved. CRD 106293."
    },
    {
      "q": "How much does Oak Financial Group Inc manage?",
      "a": "Oak Financial Group Inc reports $177,156,936 in regulatory assets under management in its Form ADV filing dated March 17, 2026 (99% discretionary)."
    },
    {
      "q": "How have Oak Financial Group Inc's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Oak Financial Group Inc: Regulatory assets under management: $180,277,647 in the October 2021 data and $177,156,936 in the October 2026 data, down 2%. Total employees: 4 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Oak Financial Group Inc serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (80); individuals (other than high net worth individuals) (42); pension and profit sharing plans (but not the plan participants or government pension plans) (9)."
    },
    {
      "q": "Which custodians does Oak Financial Group Inc use?",
      "a": "Oak Financial Group Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Oak Financial Group Inc report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/106293"
    },
    {
      "q": "What changed in Oak Financial Group Inc's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $146,883,351 to $177,156,936 (+21%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 180277647.0,
      "total_employees": 4,
      "filing_date": "2021-03-23"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 158598286.0,
      "total_employees": 4,
      "filing_date": "2022-03-24"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 144849726.0,
      "total_employees": 4,
      "filing_date": "2023-03-24"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 141126365.0,
      "total_employees": 4,
      "filing_date": "2024-03-21"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 146883351.0,
      "total_employees": 4,
      "filing_date": "2025-03-26"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 177156936.0,
      "total_employees": 4,
      "filing_date": "2026-03-17"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $146,883,351 to $177,156,936 (+21%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 17, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": "$5,000",
    "planning_fees": [],
    "figures": [
      {
        "label": "Minimum annual fee",
        "statements": [
          "Minimum annual fee: $5,000"
        ],
        "quotes": [
          "Oak’s fee is billed quarterly based on the value of the account on the last business day of each previous quarterly period and is generally 1% for assets under management (equivalent to a flat fee of 0.25% quarterly) subject to an annual minimum fee of $5,000."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": 5000.0,
      "planning": []
    },
    "quotes": [
      "Oak’s fee is billed quarterly based on the value of the account on the last business day of each previous quarterly period and is generally 1% for assets under management (equivalent to a flat fee of 0.25% quarterly) subject to an annual minimum fee of $5,000."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/oak-financial-group-inc-stamford-ct-106293.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 42,
      "fewer_than_5": false,
      "raum": 38854482.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 80,
      "fewer_than_5": false,
      "raum": 129833251.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 9,
      "fewer_than_5": false,
      "raum": 8469203.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": null,
      "fewer_than_5": true,
      "raum": null
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106293",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}