RED OAK CAPITAL MANAGEMENT, INC.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	Illinois, United States

Employees

Total Number of Employees	10
Investment Advisory/Research	8
Registered Broker-Dealer Representatives	2
Registered State Investment Advisers	8
Licensed Agents of an Insurance Company	2
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	687	$85.0M
Non-Discretionary	0	$0
Total	687	$85.0M

Clients

Type	Number	RAUM
Individuals	290	$41.6M
HNW Individuals	72	$43.4M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
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	<5	$51,199
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	1
No. of Financial Planning Clients	1-10

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation	% of AUMCommissions
Other Business Activities	Registered representative of a broker-dealerInsurance broker or agentAccountant or accounting firm

Identifiers

SEC RIA File Number	801-112768
SEC ERA File Number	801-112768
SEC CIK Numbers	None
SEC CRD Numbers	284188
Legal Entity Identifier	None

Principal Office

1415 W 22ND STREET
TOWER FLOOR
OAK BROOK
IL
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic