{ "crd_number": 152957, "slug": "oasis-investment-strategies-llc-chicago-il-152957", "primary_business_name": "OASIS INVESTMENT STRATEGIES LLC", "legal_name": "OASIS INVESTMENT STRATEGIES LLC", "dbas": [], "city": "Chicago", "state": "IL", "country": "United States", "cbsa_code": "16980", "metro": { "cbsa_code": "16980", "common_name": "Chicago", "msa_name": "Chicago-Naperville-Elgin, IL-IN", "path": "/advisors/il/chicago" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2010-05-07", "years_registered": 16, "period": "2026-10-01", "filing_date": "2026-08-07", "carried_forward": false, "raum_total": 5727642244.0, "raum_discretionary": 5727642244.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 10, "advisory_employees": 3, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "pooled_investment_vehicles": { "raum": 17671123.0, "count": 1 }, "corporations_other_businesses": { "raum": 5709971121.0, "count": 3, "fewer_than_5": true } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "IL" ], "websites": [ "https://rjoasis.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/152957", "city_as_filed": "CHICAGO", "url": "https://advisorcensus.com/firm/oasis-investment-strategies-llc-chicago-il-152957", "display_name": "Oasis Investment Strategies LLC", "summary": "Oasis Investment Strategies LLC is an SEC-registered investment advisory firm in Chicago, IL, registered since 2010, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 7, 2026.", "citation": "AdvisorCensus. Oasis Investment Strategies LLC (CRD 152957): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Oasis Investment Strategies LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Oasis Investment Strategies LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Oasis Investment Strategies LLC located?", "a": "Oasis Investment Strategies LLC's principal office is in Chicago, IL, according to its Form ADV." }, { "q": "Is Oasis Investment Strategies LLC registered with the SEC or a state?", "a": "Oasis Investment Strategies LLC is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 152957." }, { "q": "How much does Oasis Investment Strategies LLC manage?", "a": "Oasis Investment Strategies LLC reports $5,727,642,244 in regulatory assets under management in its Form ADV filing dated August 7, 2026 (100% discretionary)." }, { "q": "How have Oasis Investment Strategies LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Oasis Investment Strategies LLC: Regulatory assets under management: $4,978,004,845 in the October 2021 data and $5,727,642,244 in the October 2026 data, up 15%. Total employees: 18 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Oasis Investment Strategies LLC serve?", "a": "By number of clients on Form ADV Item 5.D: corporations or other businesses not listed above (3); pooled investment vehicles (other than investment companies and business development companies) (1)." }, { "q": "Which custodians does Oasis Investment Strategies LLC use?", "a": "Oasis Investment Strategies LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists ADM Investor Services Inc., Bank of Hope, BMO Bank, NA, Chicago Mercantile Exchange, CHS, Citibank, National Association, Deutsche Bank, ICE Europe, Merchants Bank of Indiana, Minneapolis Grain Exchange (Mgex), OCC, The Bank of New York Mellon Corporation, The ICE, Tristate Capital Bank and Wells Fargo Bank, NA as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Oasis Investment Strategies 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/152957" }, { "q": "What changed in Oasis Investment Strategies LLC's recent Form ADV filings?", "a": "In the September 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 4978004845.0, "total_employees": 18, "filing_date": "2021-04-01" }, { "period": "2022-10-01", "regulatory_assets_under_management": 7584065130.0, "total_employees": 18, "filing_date": "2022-06-08" }, { "period": "2023-10-01", "regulatory_assets_under_management": 7392218395.0, "total_employees": 15, "filing_date": "2023-09-07" }, { "period": "2024-10-01", "regulatory_assets_under_management": 5328786790.0, "total_employees": 15, "filing_date": "2024-03-29" }, { "period": "2025-10-01", "regulatory_assets_under_management": 5466409875.0, "total_employees": 11, "filing_date": "2025-03-30" }, { "period": "2026-10-01", "regulatory_assets_under_management": 5727642244.0, "total_employees": 10, "filing_date": "2026-08-07" } ], "recent_changes": [ { "period": "2026-09-01", "period_label": "September 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 4 to 3.", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "ADM Investor Services Inc.", "name_as_filed": "ADM INVESTOR SERVICES INC.", "affiliated": false }, { "name": "Bank of Hope", "name_as_filed": "BANK OF HOPE", "affiliated": false }, { "name": "BMO Bank, NA", "name_as_filed": "BMO BANK, NA", "affiliated": false }, { "name": "Chicago Mercantile Exchange", "name_as_filed": "CHICAGO MERCANTILE EXCHANGE", "affiliated": false }, { "name": "CHS", "name_as_filed": "CHS", "affiliated": false }, { "name": "Citibank, National Association", "name_as_filed": "CITIBANK, NATIONAL ASSOCIATION", "affiliated": false }, { "name": "Deutsche Bank", "name_as_filed": "DEUTSCHE BANK", "affiliated": false }, { "name": "ICE Europe", "name_as_filed": "ICE EUROPE", "affiliated": false }, { "name": "Merchants Bank of Indiana", "name_as_filed": "MERCHANTS BANK OF INDIANA", "affiliated": false }, { "name": "Minneapolis Grain Exchange (Mgex)", "name_as_filed": "MINNEAPOLIS GRAIN EXCHANGE (MGEX)", "affiliated": false }, { "name": "OCC", "name_as_filed": "OCC", "affiliated": false }, { "name": "The Bank of New York Mellon Corporation", "name_as_filed": "THE BANK OF NEW YORK MELLON CORPORATION", "affiliated": false }, { "name": "The ICE", "name_as_filed": "THE ICE", "affiliated": false }, { "name": "Tristate Capital Bank", "name_as_filed": "TRISTATE CAPITAL BANK", "affiliated": false }, { "name": "Wells Fargo Bank, NA", "name_as_filed": "WELLS FARGO BANK, NA", "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/oasis-investment-strategies-llc-chicago-il-152957.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 1, "fewer_than_5": false, "raum": 17671123.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 3, "fewer_than_5": true, "raum": 5709971121.0 } ], "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/152957", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }