# Oak Tree Securities, Inc.

> Oak Tree Securities, Inc. is a state-registered investment advisory firm in Livermore, CA, registered since 2004, reporting under $25 million in regulatory assets under management in its Form ADV filing dated February 13, 2024.

- CRD: 18126
- Filed as: OAK TREE SECURITIES, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Livermore, CA
- Filing period: October 2026
- Form ADV filing dated: February 13, 2024
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/18126
- AdvisorCensus page: https://advisorcensus.com/firm/oak-tree-securities-inc-livermore-ca-18126

## Quick answers

**How is Oak Tree Securities, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Oak Tree Securities, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Oak Tree Securities, Inc. located?**
Oak Tree Securities, Inc.'s principal office is in Livermore, CA, according to its Form ADV.

**Is Oak Tree Securities, Inc. registered with the SEC or a state?**
Oak Tree Securities, Inc. is a state-registered investment advisory firm, registered since 2004. Status as filed: APPROVED. CRD 18126.

**How much does Oak Tree Securities, Inc. manage?**
Oak Tree Securities, Inc. reports $3,689,200 in regulatory assets under management in its Form ADV filing dated February 13, 2024 (0% discretionary).

**What types of clients does Oak Tree Securities, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (5).

**Does Oak Tree Securities, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/18126

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $3,689,200
- Discretionary: $0
- Non-discretionary: $3,689,200

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 5 | $3,689,200 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2004 (22 years)
- Employees: 4 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Oak Tree Securities, Inc. (CRD 18126): Form ADV filing data as of October 2026.