AdvisorCensus / Financial advisors / California / Sacramento / Three Oaks Wealth
Three Oaks Wealth
Filed as THREE OAKS WEALTH · Legal name Three Oaks Capital Management, LLC
Three Oaks Wealth is an SEC-registered investment advisory firm in Gold River, CA, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 1, 2026.
Quick answers
From the filingHow is Three Oaks Wealth compensated?
On its Form ADV (Item 5.E, October 2026), Three Oaks Wealth reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.
Where is Three Oaks Wealth located?
Three Oaks Wealth's principal office is in Gold River, CA, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is Three Oaks Wealth registered with the SEC or a state?
Three Oaks Wealth is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 171082.
How much does Three Oaks Wealth manage?
Three Oaks Wealth reports $100,005,394 in regulatory assets under management in its Form ADV filing dated September 1, 2026 (100% discretionary).
What types of clients does Three Oaks Wealth serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (46); individuals (other than high net worth individuals) (43); pension and profit sharing plans (but not the plan participants or government pension plans) (11).
Which custodians does Three Oaks Wealth use?
Three Oaks Wealth's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.
Does Three Oaks Wealth report any disciplinary disclosures?
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/171082
What changed in Three Oaks Wealth's recent Form ADV filings?
In the October 2026 filing data: Employees performing advisory functions went from 2 to 3.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies. See the firm's brochure (dated July 21, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$100,005,394 as of October 2026, filing dated September 1, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Educational seminars/workshops
Registration and firm details
Items 1, 2, 5- Legal name
- Three Oaks Capital Management, LLC
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2026 (0 years)
- Employees
- Total: 4. Performing investment advisory functions: 3.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the October 2026 filing
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 months- October 2026
- Employees performing advisory functions went from 2 to 3.
- September 2026
- Newly registered with the SEC.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Three Oaks Wealth (CRD 171082): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/three-oaks-wealth-gold-river-ca-171082