# Stone Oak Capital LLC

> Stone Oak Capital LLC is an SEC-registered investment advisory firm in Rochester, NY, registered since 2026, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated July 2, 2026.

- CRD: 341363
- Filed as: STONE OAK CAPITAL LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Rochester, NY
- Filing period: October 2026
- Form ADV filing dated: July 2, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/341363
- AdvisorCensus page: https://advisorcensus.com/firm/stone-oak-capital-llc-rochester-ny-341363

## Quick answers

**How is Stone Oak Capital LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Stone Oak Capital LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**How much does Stone Oak Capital LLC charge?**
Its Form ADV Part 2A brochure dated July 2, 2026 states: Flat fee: $250 to $2,500 (creating client financial plans). Fees can differ by service and may be negotiable; the brochure is the complete statement.

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

**Is Stone Oak Capital LLC registered with the SEC or a state?**
Stone Oak Capital LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 341363.

**How much does Stone Oak Capital LLC manage?**
Stone Oak Capital LLC reports $33,720,036 in regulatory assets under management in its Form ADV filing dated July 2, 2026 (100% discretionary).

**What types of clients does Stone Oak Capital LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (61); high net worth individuals (5).

**Does Stone Oak Capital LLC report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). 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/341363

**Does Stone Oak Capital LLC state an account minimum?**
Its Form ADV Part 2A brochure dated July 2, 2026 says: "There is no account minimum for any of SOCL’s services."

**What changed in Stone Oak Capital LLC's recent Form ADV filings?**
In the August 2026 filing data: Regulatory assets under management went from $0 to $33,720,036.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

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

- Account minimum: None

> There is no account minimum for any of SOCL’s services.

- Flat fee: $250 to $2,500 (creating client financial plans)

> The negotiated fixed rate for creating client financial plans is between $250 and $2,500.

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

### Regulatory assets under management (Item 5.F)
- Total: $33,720,036
- Discretionary: $33,720,036
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 61 | $12,111,743 |
| High net worth individuals | 5 | $21,608,293 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

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

### Firm details
- Registered since: 2026 (0 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?

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/341363

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

## Changes in the filing (last 12 months)

### August 2026
- Regulatory assets under management went from $0 to $33,720,036.

### May 2026
- Newly registered with the SEC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Stone Oak Capital LLC (CRD 341363): Form ADV filing data as of October 2026.