SAGEOAK FINANCIAL, LLC
Adviser information for SAGEOAK FINANCIAL, LLC last updated from Form ADV on March 14th, 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 | Oklahoma, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 621 | $129.1M |
| Non-Discretionary | 0 | $0 |
| Total | 621 | $129.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 219 | $62.5M |
| HNW Individuals | 46 | $63.4M |
| 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 | <5 | $3.3M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 15 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshopsTAX PREPARATION |
|---|---|
| Compensation | % of AUMFixed feesPERCENTAGE OF CLIENT NET WORTH |
Identifiers
| SEC RIA File Number | 801-122855 |
|---|---|
| SEC ERA File Number | 801-122855 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 166927 |
| Legal Entity Identifier | None |
Principal Office
6964 S. 69TH EAST AVE.TULSA
OK
United States
M-TH 8:30AM-5PM; F 8:30-3:30PM, BY APPOINTMENT ONLY
Tel: (918) 627-3700, Fax: None
Chief Compliance Officer
TYLER A. GRAY
MANAGING DIRECTOR, FINANCIAL ADVISOR
6964 S. 69TH EAST AVE.
TULSA
OK
United States
Tel:
(918) 627-3700
I***@*******************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 |
|---|---|---|---|---|---|
| GRAY, TYLER, ALLEN | Individual | – | MANAGING DIRECTOR, FINANCIAL ADVISOR, CHIEF COMPLIANCE OFFICER | 01/2013 | 10-25% |
| Ellis, Steven, Wayne | Individual | – | PRINCIPAL & FINANCIAL ADVISOR | 01/2022 | 25-50% |
| RICKNER, STAN, RAY | Individual | – | PRESIDENT & FINANCIAL ADVISOR | 01/2022 | 25-50% |