{
  "crd_number": 246788,
  "slug": "oak-root-llc-246788",
  "primary_business_name": "OAK ROOT LLC",
  "legal_name": "OAK ROOT LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2015-06-24",
  "years_registered": 11,
  "period": "2026-10-01",
  "filing_date": "2026-08-19",
  "carried_forward": false,
  "raum_total": 920000000.0,
  "raum_discretionary": 909000000.0,
  "raum_non_discretionary": 11000000.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 2,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 11000000.0,
      "count": 1,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 1500000.0,
      "count": 9
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 907500000.0,
      "count": 8
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "HI"
  ],
  "websites": [
    "https://oakrootllc.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/246788",
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/oak-root-llc-246788",
  "display_name": "Oak Root LLC",
  "summary": "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.",
  "citation": "AdvisorCensus. Oak Root LLC (CRD 246788): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Oak Root LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Oak Root LLC reports these compensation arrangements: a percentage of assets under its management; other."
    },
    {
      "q": "How much does Oak Root LLC charge?",
      "a": "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."
    },
    {
      "q": "Is Oak Root LLC registered with the SEC or a state?",
      "a": "Oak Root LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 246788."
    },
    {
      "q": "How much does Oak Root LLC manage?",
      "a": "Oak Root LLC reports $920,000,000 in regulatory assets under management in its Form ADV filing dated August 19, 2026 (99% discretionary)."
    },
    {
      "q": "How have Oak Root LLC's assets and staff changed since 2021?",
      "a": "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."
    },
    {
      "q": "What types of clients does Oak Root LLC serve?",
      "a": "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)."
    },
    {
      "q": "Which custodians does Oak Root LLC use?",
      "a": "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."
    },
    {
      "q": "Does Oak Root LLC 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/246788"
    },
    {
      "q": "Does Oak Root LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated June 9, 2026 says: \"There is no account minimum for any of ORL’s services.\""
    },
    {
      "q": "What changed in Oak Root LLC's recent Form ADV filings?",
      "a": "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."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 833000000.0,
      "total_employees": 1,
      "filing_date": "2021-03-18"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 867000000.0,
      "total_employees": 1,
      "filing_date": "2022-03-19"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 666000000.0,
      "total_employees": 1,
      "filing_date": "2023-09-07"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 777000000.0,
      "total_employees": 2,
      "filing_date": "2024-07-10"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 813000000.0,
      "total_employees": 2,
      "filing_date": "2025-03-19"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 920000000.0,
      "total_employees": 2,
      "filing_date": "2026-08-19"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Regulatory assets under management went from $813,000,000 to $920,000,000 (+13%).",
        "No longer lists an office in Kahului, HI."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated June 9, 2026",
    "provided_by_the_firm": false,
    "tiers": [
      {
        "band": "Up to $1,000,000",
        "rate": "0.9%"
      },
      {
        "band": "$1,000,000 to $5,000,000",
        "rate": "0.7%"
      },
      {
        "band": "$5,000,000 to $10,000,000",
        "rate": "0.5%"
      },
      {
        "band": "Above $10,000,000",
        "rate": "0.4%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "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"
        ],
        "quotes": [
          "Total Assets Under Management Annual Fee \n$0 - $1,000,000 0.90% \n$1,000,000 - $5,000,000 0.70% \n$5,000,000 - $10,000,000 0.50% \n$10,000,000 – And Up 0.40%"
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "There is no account minimum for any of ORL’s services."
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": 0.0,
          "max": 1000000.0,
          "rate_pct": 0.9
        },
        {
          "min": 1000000.0,
          "max": 5000000.0,
          "rate_pct": 0.7
        },
        {
          "min": 5000000.0,
          "max": 10000000.0,
          "rate_pct": 0.5
        },
        {
          "min": 10000000.0,
          "max": null,
          "rate_pct": 0.4
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Total Assets Under Management Annual Fee \n$0 - $1,000,000 0.90% \n$1,000,000 - $5,000,000 0.70% \n$5,000,000 - $10,000,000 0.50% \n$10,000,000 – And Up 0.40%",
      "There is no account minimum for any of ORL’s services."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Pershing LLC",
      "name_as_filed": "PERSHING LLC",
      "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-root-llc-246788.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 9,
      "fewer_than_5": false,
      "raum": 1500000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 8,
      "fewer_than_5": false,
      "raum": 907500000.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "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": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 1,
      "fewer_than_5": true,
      "raum": 11000000.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "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/246788",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}