# Oak Financial Group Inc

> 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.

- CRD: 106293
- Filed as: OAK FINANCIAL GROUP INC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Stamford, CT
- Filing period: October 2026
- Form ADV filing dated: March 17, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/106293
- AdvisorCensus page: https://advisorcensus.com/firm/oak-financial-group-inc-stamford-ct-106293

## Quick answers

**How is Oak Financial Group Inc compensated?**
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).

**Where is Oak Financial Group Inc located?**
Oak Financial Group Inc's principal office is in Stamford, CT, according to its Form ADV.

**Is Oak Financial Group Inc registered with the SEC or a state?**
Oak Financial Group Inc is an SEC-registered investment advisory firm, registered since 1992. Status as filed: Approved. CRD 106293.

**How much does Oak Financial Group Inc manage?**
Oak Financial Group Inc reports $177,156,936 in regulatory assets under management in its Form ADV filing dated March 17, 2026 (99% discretionary).

**How have Oak Financial Group Inc's assets and staff changed since 2021?**
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.

**What types of clients does Oak Financial Group Inc serve?**
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).

**Which custodians does Oak Financial Group Inc use?**
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.

**Does Oak Financial Group Inc report any disciplinary disclosures?**
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

**What changed in Oak Financial Group Inc's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $146,883,351 to $177,156,936 (+21%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 17, 2026)

- Minimum annual fee: $5,000

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $177,156,936
- Discretionary: $175,077,266
- Non-discretionary: $2,079,670

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 42 | $38,854,482 |
| High net worth individuals | 80 | $129,833,251 |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 9 | $8,469,203 |
| Charitable organizations | Fewer than 5 | Not reported |
| State or municipal government entities (including government pension plans) | Fewer than 5 | Not reported |
| Other investment advisers | Fewer than 5 | Not reported |
| Insurance companies | Fewer than 5 | Not reported |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | Not reported |
| Corporations or other businesses not listed above | Fewer than 5 | Not reported |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 1992 (34 years)
- Employees: 4 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, CT, FL, MA, MD, NC, NH, NJ, NY, TX, VT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- oakfingroup.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $180,277,647 | 4 | March 23, 2021 |
| October 2022 | $158,598,286 | 4 | March 24, 2022 |
| October 2023 | $144,849,726 | 4 | March 24, 2023 |
| October 2024 | $141,126,365 | 4 | March 21, 2024 |
| October 2025 | $146,883,351 | 4 | March 26, 2025 |
| October 2026 | $177,156,936 | 4 | March 17, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $146,883,351 to $177,156,936 (+21%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Oak Financial Group Inc (CRD 106293): Form ADV filing data as of October 2026.