AdvisorCensus / Financial advisors / Oak Tree Advisory Services Inc
Oak Tree Advisory Services Inc is an SEC-registered investment advisory firm, registered since 1985, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 7, 2023.
Quick answers
From the filingHow is Oak Tree Advisory Services Inc compensated?
On its Form ADV (Item 5.E, October 2026), Oak Tree Advisory Services Inc reports these compensation arrangements: hourly charges; other. The amounts are in Item 5 of its Form ADV Part 2A brochure.
Is Oak Tree Advisory Services Inc registered with the SEC or a state?
Oak Tree Advisory Services Inc is an SEC-registered investment advisory firm, registered since 1985. Status as filed: Approved. CRD 105883.
How much does Oak Tree Advisory Services Inc manage?
Oak Tree Advisory Services Inc reports $25,000,000 in regulatory assets under management in its Form ADV filing dated March 7, 2023 (100% discretionary).
How have Oak Tree Advisory Services Inc's assets and staff changed since 2021?
In the Form ADV data for Oak Tree Advisory Services Inc: Regulatory assets under management: $25,000,000 in the October 2021 data and $25,000,000 in the October 2026 data, unchanged. Total employees: 2 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 Tree Advisory Services Inc serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (30); high net worth individuals (10).
Does Oak Tree Advisory Services Inc 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/105883
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- Hourly charges
- 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
Regulatory assets under management
Item 5.F$25,000,000 as of October 2026, filing dated March 7, 2023.
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
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Other
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 1985 (40 years)
- Employees
- Total: 2. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- States registered or notice-filed
- Not reported.
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 | $25,000,000 | 2 | March 7, 2023 |
| October 2025 | $25,000,000 | 2 | March 7, 2023 |
| October 2024 | $25,000,000 | 2 | March 7, 2023 |
| October 2023 | $25,000,000 | 2 | March 7, 2023 |
| October 2022 | $25,000,000 | 2 | July 22, 2022 |
| October 2021 | $25,000,000 | 2 | October 7, 2019 |
Regulatory assets under management: $25,000,000 in the October 2021 data and $25,000,000 in the October 2026 data, unchanged.
Total employees: 2 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 monthsNo changes to these filed facts in the last 12 months of filing data.
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 Tree Advisory Services Inc (CRD 105883): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/oak-tree-advisory-services-inc-105883