{
  "crd_number": 169089,
  "slug": "oak-harbor-capital-llc-las-vegas-nv-169089",
  "primary_business_name": "OAK HARBOR CAPITAL, LLC",
  "legal_name": "OAK HARBOR CAPITAL, LLC",
  "dbas": [],
  "city": "Las Vegas",
  "state": "NV",
  "country": "United States",
  "cbsa_code": "29820",
  "metro": {
    "cbsa_code": "29820",
    "common_name": "Las Vegas",
    "msa_name": "Las Vegas-Henderson-North Las Vegas, NV",
    "path": "/advisors/nv/las-vegas"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2014-09-29",
  "years_registered": 12,
  "period": "2026-10-01",
  "filing_date": "2026-03-27",
  "carried_forward": false,
  "raum_total": 442118576.0,
  "raum_discretionary": 442118576.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 20,
  "advisory_employees": 7,
  "client_count_bucket": null,
  "clients_by_type": {
    "pooled_investment_vehicles": {
      "raum": 442118576.0,
      "count": 18
    }
  },
  "compensation_types": [
    "other",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 5,
  "states_registered": [
    "DE",
    "NV",
    "WA"
  ],
  "websites": [
    "https://argolicallc.com",
    "https://arundinallc.com",
    "https://atlanticallc.com",
    "https://boniferallc.com",
    "https://erostylisllc.com",
    "https://isanthesllc.com",
    "https://laeliallc.com",
    "https://limosallc.com",
    "https://lycastellc.com",
    "https://oakharborcapital.com",
    "https://scolopaxllc.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/169089",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": "LAS VEGAS",
  "url": "https://advisorcensus.com/firm/oak-harbor-capital-llc-las-vegas-nv-169089",
  "display_name": "Oak Harbor Capital, LLC",
  "summary": "Oak Harbor Capital, LLC is an SEC-registered investment advisory firm in Las Vegas, NV, registered since 2014, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 27, 2026.",
  "citation": "AdvisorCensus. Oak Harbor Capital, LLC (CRD 169089): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees",
    "Other"
  ],
  "advisory_activity_labels": [
    "Portfolio management for pooled investment vehicles (other than investment companies)"
  ],
  "quick_answers": [
    {
      "q": "How is Oak Harbor Capital, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Oak Harbor Capital, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other."
    },
    {
      "q": "What does Oak Harbor Capital, LLC's brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated March 27, 2026 states: Asset-based fee: 1.75% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Oak Harbor Capital, LLC located?",
      "a": "Oak Harbor Capital, LLC's principal office is in Las Vegas, NV, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Oak Harbor Capital, LLC registered with the SEC or a state?",
      "a": "Oak Harbor Capital, LLC is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 169089."
    },
    {
      "q": "How much does Oak Harbor Capital, LLC manage?",
      "a": "Oak Harbor Capital, LLC reports $442,118,576 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary)."
    },
    {
      "q": "How have Oak Harbor Capital, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Oak Harbor Capital, LLC: Regulatory assets under management: $567,128,469 in the October 2021 data and $442,118,576 in the October 2026 data, down 22%. Total employees: 49 in October 2021 and 20 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Oak Harbor Capital, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (18)."
    },
    {
      "q": "Does Oak Harbor Capital, LLC report any disciplinary disclosures?",
      "a": "Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/169089"
    },
    {
      "q": "Does Oak Harbor Capital, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 27, 2026 says: \"In general, the minimum investment commitment required of an investor to participate in an Oak Harbor Fund is $250,000. However, Oak Harbor has discretion to increase or reduce the minimum investment commitment.\""
    },
    {
      "q": "What changed in Oak Harbor Capital, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 8 to 7. Regulatory assets under management went from $507,757,176 to $442,118,576 (-13%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 567128469.0,
      "total_employees": 49,
      "filing_date": "2021-04-20"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 669589754.0,
      "total_employees": 27,
      "filing_date": "2022-05-27"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 561842009.0,
      "total_employees": 27,
      "filing_date": "2023-03-30"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 553455387.0,
      "total_employees": 25,
      "filing_date": "2024-03-28"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 507757176.0,
      "total_employees": 26,
      "filing_date": "2025-06-04"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 442118576.0,
      "total_employees": 20,
      "filing_date": "2026-03-27"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 8 to 7.",
        "Regulatory assets under management went from $507,757,176 to $442,118,576 (-13%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 27, 2026",
    "tiers": [],
    "flat_rate": "1.75% of assets a year",
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$250,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 1.75% of assets a year"
        ],
        "quotes": [
          "Oak Harbor Funds generally pay an annual management fee to Oak Harbor of 1.75% per annum of the unrecovered invested capital or assets under management of each Oak Harbor Fund."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $250,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "In general, the minimum investment commitment required of an investor to participate in an Oak Harbor Fund is $250,000. However, Oak Harbor has discretion to increase or reduce the minimum investment commitment."
        ]
      }
    ],
    "quotes": [
      "Oak Harbor Funds generally pay an annual management fee to Oak Harbor of 1.75% per annum of the unrecovered invested capital or assets under management of each Oak Harbor Fund.",
      "In general, the minimum investment commitment required of an investor to participate in an Oak Harbor Fund is $250,000. However, Oak Harbor has discretion to increase or reduce the minimum investment commitment."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/oak-harbor-capital-llc-las-vegas-nv-169089.md",
  "clients": [
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 18,
      "fewer_than_5": false,
      "raum": 442118576.0
    }
  ],
  "disclosure_line": "Reports 5 disclosure items on Form ADV Item 11.",
  "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/169089",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}