STONE OAK WEALTH MANAGEMENT, LLC
Adviser information for STONE OAK WEALTH MANAGEMENT, LLC last updated from Form ADV on March 26th, 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 | Texas, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| 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 | 241 | $268.9M |
| Non-Discretionary | 45 | $33.4M |
| Total | 286 | $302.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 115 | $31.2M |
| HNW Individuals | 136 | $218.0M |
| 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 | 22 | $31.8M |
| Charitable organizations | 7 | $11.7M |
| 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 | 6 | $9.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-118782 |
|---|---|
| SEC ERA File Number | 801-118782 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 288217 |
| Legal Entity Identifier | None |
Principal Office
19026 RIDGEWOOD PARKWAYSUITE 134
SAN ANTONIO
TX
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 210-339-2707, Fax: 888-738-2621
Chief Compliance Officer
JOHN JOSEPH DALLAHAN
19026 RIDGEWOOD PARKWAY
SUITE 134
SAN ANTONIO
TX
United States
Tel:
210-339-2707
Fax:
888-738-2621
J********@*****************M
(Full email address available in API data)
Regulatory Contact
GREGORY RYAN THOMPSON
MANAGING MEMBER, PRESIDENT, CEO
19026 RIDGEWOOD PARKWAY
SUITE 134
SAN ANTONIO
TX
United States
Tel:
210-339-2707
Fax:
888-738-2621
G********@*****************M
(Full email address available in API data)
Industry Affiliates
| GREG THOMPSON | Pension consultant |
| STONE OAK WEALTH MANAGEMENT | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THOMPSON, GREGORY, RYAN | Individual | – | MANAGING MEMBER/PRESIDENT/CEO | 01/2005 | > 75% |
| DALLAHAN, JOHN, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2019 | < 5% |