RUNNING OAK CAPITAL LLC
Adviser information for RUNNING OAK CAPITAL LLC last updated from Form ADV on February 13th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Minnesota, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 790 | $522.5M |
| Non-Discretionary | 63 | $11.2M |
| Total | 853 | $533.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 812 | $382.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $77.3M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 2 | $54.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 38 | $19.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesSUB-ADVISORY SERVICES; BASE PAY PLUS DISCRETIONARY BONUS |
|---|---|
| Compensation | % of AUMBASE PAY PLUS DISCRETIONARY BONUS |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 431.0M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MUTUAL ADVISORS, LLC WRAP PROGRAM | MUTUAL ADVISORS, LLC |
| MARKS GROUP WEALTH MANAGEMENT WRAP PROGRAM | MARKS GROUP WEALTH MANAGEMENT, INC. |
| SMARTX UMA | SMARTX ADVISORY SOLUTIONS |
| ENVESTNET UMA | ENVESTNET PMC |
Principal Office
4519 W 56TH STEDINA
MN
United States
Monday - Friday, 9:00AM - 5:00 PM
Tel: 919-656-3712, Fax: None
Chief Compliance Officer
JEFFREY DAVID BRODERS
CHIEF OPERATING OFFICER
4519 W 56TH ST
EDINA
MN
United States
Tel:
515-321-1299
J***@*************M
(Full email address available in API data)
Regulatory Contact
SETH LAWRENCE COGSWELL
MANAGING MEMBER
4519 W 56TH ST
EDINA
MN
United States
Tel:
919-656-3712
S***@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COGSWELL, SETH, LAWRENCE | Individual | – | MANAGING MEMBER | 07/2012 | > 75% |
| BRODERS, JEFFREY, DAVID | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2021 | < 5% |