FIRST OAK WEALTH MANAGEMENT, LLC
Adviser information for FIRST OAK WEALTH MANAGEMENT, LLC last updated from Form ADV on March 6th, 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 | North Carolina, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 609 | $252.8M |
| Non-Discretionary | 0 | $0 |
| Total | 609 | $252.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 125 | $54.6M |
| HNW Individuals | 54 | $113.5M |
| 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 | <5 | $1.1M |
| Charitable organizations | <5 | $7.9M |
| 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 | 9 | $75.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-113049 |
|---|---|
| SEC ERA File Number | 801-113049 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 288316 |
| Legal Entity Identifier | None |
Principal Office
9131 ANSON WAYSUITE 200
RALEIGH
NC
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 919-421-1555, Fax: None
Chief Compliance Officer
RYAN P. THOMSEN
MANAGER
9131 ANSON WAY
SUITE 200
RALEIGH
NC
United States
Tel:
919-421-1555
R*******@***********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 |
|---|---|---|---|---|---|
| THOMSEN, RYAN, PAUL | Individual | – | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | 01/2017 | > 75% |