# Oak Harbor Capital, LLC

> 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.

- CRD: 169089
- Filed as: OAK HARBOR CAPITAL, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Las Vegas, NV
- Filing period: October 2026
- Form ADV filing dated: March 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/169089
- AdvisorCensus page: https://advisorcensus.com/firm/oak-harbor-capital-llc-las-vegas-nv-169089

## Quick answers

**How is Oak Harbor Capital, LLC compensated?**
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.

**What does Oak Harbor Capital, LLC's brochure say about its fees?**
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.

**Where is Oak Harbor Capital, LLC located?**
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).

**Is Oak Harbor Capital, LLC registered with the SEC or a state?**
Oak Harbor Capital, LLC is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 169089.

**How much does Oak Harbor Capital, LLC manage?**
Oak Harbor Capital, LLC reports $442,118,576 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary).

**How have Oak Harbor Capital, LLC's assets and staff changed since 2021?**
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.

**What types of clients does Oak Harbor Capital, LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (18).

**Does Oak Harbor Capital, LLC report any disciplinary disclosures?**
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

**Does Oak Harbor Capital, LLC state an account minimum?**
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."

**What changed in Oak Harbor Capital, LLC's recent Form ADV filings?**
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).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees
- Other

### Fees and minimums (Form ADV Part 2A brochure dated March 27, 2026)

- Asset-based fee: 1.75% of assets a year

> 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.

- Account minimum: $250,000 (the brochure says it may be waived or negotiated)

> 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.

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

### Regulatory assets under management (Item 5.F)
- Total: $442,118,576
- Discretionary: $442,118,576
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 18 | $442,118,576 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2014 (12 years)
- Employees: 20 total, 7 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: DE, NV, WA
- Disclosures (Item 11): Reports 5 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?
- 11.D(2): 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?
- 11.D(4): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/169089

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Seattle, WA

### Websites listed on Form ADV (Item 1.I)
- argolicallc.com
- arundinallc.com
- atlanticallc.com
- boniferallc.com
- erostylisllc.com
- isanthesllc.com
- laeliallc.com
- limosallc.com
- lycastellc.com
- oakharborcapital.com
- scolopaxllc.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $567,128,469 | 49 | April 20, 2021 |
| October 2022 | $669,589,754 | 27 | May 27, 2022 |
| October 2023 | $561,842,009 | 27 | March 30, 2023 |
| October 2024 | $553,455,387 | 25 | March 28, 2024 |
| October 2025 | $507,757,176 | 26 | June 4, 2025 |
| October 2026 | $442,118,576 | 20 | March 27, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Oak Harbor Capital, LLC (CRD 169089): Form ADV filing data as of October 2026.