# 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.

- CRD: 246788
- Filed as: OAK ROOT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: August 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/246788
- AdvisorCensus page: https://advisorcensus.com/firm/oak-root-llc-246788

## Quick answers

**How 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

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

### Fees and minimums (Form ADV Part 2A brochure dated June 9, 2026)

- 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

> 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

> There is no account minimum for any of ORL’s services.

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

### Custodians (Schedule D, Section 5.K(3))
- Pershing LLC

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: $920,000,000
- Discretionary: $909,000,000
- Non-discretionary: $11,000,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 9 | $1,500,000 |
| High net worth individuals | 8 | $907,500,000 |
| Banking or thrift institutions | 0 | $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) | 0 | $0 |
| Charitable organizations | 1 | $11,000,000 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2015 (11 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, HI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $833,000,000 | 1 | March 18, 2021 |
| October 2022 | $867,000,000 | 1 | March 19, 2022 |
| October 2023 | $666,000,000 | 1 | September 7, 2023 |
| October 2024 | $777,000,000 | 2 | July 10, 2024 |
| October 2025 | $813,000,000 | 2 | March 19, 2025 |
| October 2026 | $920,000,000 | 2 | August 19, 2026 |

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.

## 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Oak Root LLC (CRD 246788): Form ADV filing data as of October 2026.