AdvisorCensus / Financial advisors / Oak Root LLC
Oak Root LLC is an SEC-registered investment advisory firm, registered since 2015, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated August 19, 2026.
Quick answers
From the filingHow is Oak Root LLC compensated?
On its Form ADV (Item 5.E, October 2026), Oak Root LLC reports these compensation arrangements: a percentage of assets under its management; other.
How much does Oak Root LLC charge?
Its Form ADV Part 2A brochure dated June 9, 2026 states: Up to $1,000,000: 0.9% a year; $1,000,000 to $5,000,000: 0.7% a year; $5,000,000 to $10,000,000: 0.5% a year; Above $10,000,000: 0.4% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Is Oak Root LLC registered with the SEC or a state?
Oak Root LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 246788.
How much does Oak Root LLC manage?
Oak Root LLC reports $920,000,000 in regulatory assets under management in its Form ADV filing dated August 19, 2026 (99% discretionary).
How have Oak Root LLC's assets and staff changed since 2021?
In the Form ADV data for Oak Root LLC: Regulatory assets under management: $833,000,000 in the October 2021 data and $920,000,000 in the October 2026 data, up 10%. Total employees: 1 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Oak Root LLC serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (9); high net worth individuals (8); charitable organizations (1).
Which custodians does Oak Root LLC use?
Oak Root LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC as a custodian holding 10% or more of its separately managed account assets.
Does Oak Root LLC 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/246788
Does Oak Root LLC state an account minimum?
Its Form ADV Part 2A brochure dated June 9, 2026 says: "There is no account minimum for any of ORL’s services."
What changed in Oak Root LLC's recent Form ADV filings?
In the March 2026 filing data: Regulatory assets under management went from $813,000,000 to $920,000,000 (+13%). No longer lists an office in Kahului, HI.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Other
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2A| Assets | Annual rate |
|---|---|
| Up to $1,000,000 | 0.9% |
| $1,000,000 to $5,000,000 | 0.7% |
| $5,000,000 to $10,000,000 | 0.5% |
| Above $10,000,000 | 0.4% |
The brochure's wording
Total Assets Under Management Annual Fee $0 - $1,000,000 0.90% $1,000,000 - $5,000,000 0.70% $5,000,000 - $10,000,000 0.50% $10,000,000 – And Up 0.40%
Account minimum: None
The brochure's wording
There is no account minimum for any of ORL’s services.
As stated in the firm's Form ADV Part 2A brochure dated June 9, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$920,000,000 as of October 2026, filing dated August 19, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2015 (11 years)
- Employees
- Total: 2. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $920,000,000 | 2 | August 19, 2026 |
| October 2025 | $813,000,000 | 2 | March 19, 2025 |
| October 2024 | $777,000,000 | 2 | July 10, 2024 |
| October 2023 | $666,000,000 | 1 | September 7, 2023 |
| October 2022 | $867,000,000 | 1 | March 19, 2022 |
| October 2021 | $833,000,000 | 1 | March 18, 2021 |
Regulatory assets under management: $833,000,000 in the October 2021 data and $920,000,000 in the October 2026 data, up 10%.
Total employees: 1 in October 2021 and 2 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- March 2026
- Regulatory assets under management went from $813,000,000 to $920,000,000 (+13%).
- No longer lists an office in Kahului, HI.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Oak Root LLC (CRD 246788): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/oak-root-llc-246788