# One Oak Capital Management, LLC

> 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.

- CRD: 170339
- Filed as: ONE OAK CAPITAL MANAGEMENT, LLC
- Also doing business as: ONE OAK CAPITAL MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Purchase, NY
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/170339
- AdvisorCensus page: https://advisorcensus.com/firm/one-oak-capital-management-llc-purchase-ny-170339

## Quick answers

**How is One Oak Capital Management, LLC compensated?**
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.

**How much does One Oak Capital Management, LLC charge?**
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.

**Where is One Oak Capital Management, LLC located?**
One Oak Capital Management, LLC's principal office is in Purchase, NY, according to its Form ADV.

**Is One Oak Capital Management, LLC registered with the SEC or a state?**
One Oak Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 170339.

**How much does One Oak Capital Management, LLC manage?**
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).

**How have One Oak Capital Management, LLC's assets and staff changed since 2021?**
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.

**What types of clients does One Oak Capital Management, LLC serve?**
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).

**Does One Oak Capital Management, LLC report any disciplinary disclosures?**
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

**What changed in One Oak Capital Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 12 to 11.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- Asset-based fee: 0.025% to 1.25% a year (a range, as the brochure states it)

> 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.

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

### Regulatory assets under management (Item 5.F)
- Total: $418,535,463
- Discretionary: $418,535,463
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 320 | $89,210,364 |
| High net worth individuals | 55 | $149,641,220 |
| Pooled investment vehicles (other than investment companies and business development companies) | 6 | $172,711,879 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 1 | $863,978 |
| State or municipal government entities (including government pension plans) | 2 | $6,108,022 |

### Advisory services (Item 5.G)
- 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)

### Firm details
- Registered since: 2019 (7 years)
- Employees: 14 total, 11 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NJ, NY
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/170339

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $437,659,966 | 16 | March 31, 2021 |
| October 2022 | $755,067,159 | 16 | June 24, 2022 |
| October 2023 | $330,692,029 | 14 | April 27, 2023 |
| October 2024 | $283,111,904 | 12 | April 16, 2024 |
| October 2025 | $446,997,945 | 16 | June 30, 2025 |
| October 2026 | $418,535,463 | 14 | March 31, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 12 to 11.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. One Oak Capital Management, LLC (CRD 170339): Form ADV filing data as of October 2026.