{
  "crd_number": 170339,
  "slug": "one-oak-capital-management-llc-purchase-ny-170339",
  "primary_business_name": "ONE OAK CAPITAL MANAGEMENT, LLC",
  "legal_name": "ONE OAK CAPITAL MANAGEMENT, LLC",
  "dbas": [
    "ONE OAK CAPITAL MANAGEMENT, LLC"
  ],
  "city": "Purchase",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2019-01-28",
  "years_registered": 7,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 418535463.0,
  "raum_discretionary": 418535463.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 14,
  "advisory_employees": 11,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "individuals": {
      "raum": 89210364.0,
      "count": 320
    },
    "state_municipal": {
      "raum": 6108022.0,
      "count": 2,
      "fewer_than_5": true
    },
    "pension_profit_sharing": {
      "raum": 863978.0,
      "count": 1,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 149641220.0,
      "count": 55
    },
    "pooled_investment_vehicles": {
      "raum": 172711879.0,
      "count": 6
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "NJ",
    "NY"
  ],
  "websites": [
    "https://oneoakcapitalmgmt.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/170339",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "PURCHASE",
  "url": "https://advisorcensus.com/firm/one-oak-capital-management-llc-purchase-ny-170339",
  "display_name": "One Oak Capital Management, LLC",
  "summary": "One Oak Capital Management, LLC is an SEC-registered investment advisory firm in Purchase, NY, registered since 2019, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. One Oak Capital Management, LLC (CRD 170339): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is One Oak Capital Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), One Oak Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees."
    },
    {
      "q": "How much does One Oak Capital Management, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Asset-based fee: 0.025% to 1.25% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is One Oak Capital Management, LLC located?",
      "a": "One Oak Capital Management, LLC's principal office is in Purchase, NY, according to its Form ADV."
    },
    {
      "q": "Is One Oak Capital Management, LLC registered with the SEC or a state?",
      "a": "One Oak Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 170339."
    },
    {
      "q": "How much does One Oak Capital Management, LLC manage?",
      "a": "One Oak Capital Management, LLC reports $418,535,463 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)."
    },
    {
      "q": "How have One Oak Capital Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for One Oak Capital Management, LLC: Regulatory assets under management: $437,659,966 in the October 2021 data and $418,535,463 in the October 2026 data, down 4%. Total employees: 16 in October 2021 and 14 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does One Oak Capital Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (320); high net worth individuals (55); pooled investment vehicles (other than investment companies and business development companies) (6)."
    },
    {
      "q": "Does One Oak Capital Management, LLC report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/170339"
    },
    {
      "q": "What changed in One Oak Capital Management, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 12 to 11."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 437659966.0,
      "total_employees": 16,
      "filing_date": "2021-03-31"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 755067159.0,
      "total_employees": 16,
      "filing_date": "2022-06-24"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 330692029.0,
      "total_employees": 14,
      "filing_date": "2023-04-27"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 283111904.0,
      "total_employees": 12,
      "filing_date": "2024-04-16"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 446997945.0,
      "total_employees": 16,
      "filing_date": "2025-06-30"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 418535463.0,
      "total_employees": 14,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 12 to 11."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": "0.025% to 1.25% a year",
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 0.025% to 1.25% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "Retail Advisory Clients will pay an annual principal advisory fee between 0.025% to 1.25%, paid monthly in arrears, based on the market value of each account on the last business day of the previous quarter."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": [
        0.025,
        1.25
      ],
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Retail Advisory Clients will pay an annual principal advisory fee between 0.025% to 1.25%, paid monthly in arrears, based on the market value of each account on the last business day of the previous quarter."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/one-oak-capital-management-llc-purchase-ny-170339.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 320,
      "fewer_than_5": false,
      "raum": 89210364.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 55,
      "fewer_than_5": false,
      "raum": 149641220.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 6,
      "fewer_than_5": false,
      "raum": 172711879.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 1,
      "fewer_than_5": true,
      "raum": 863978.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 2,
      "fewer_than_5": true,
      "raum": 6108022.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "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/170339",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}