SOUTHERN OAK CAPITAL, LLC
Adviser information for SOUTHERN OAK CAPITAL, LLC last updated from Form ADV on July 17th, 2023. 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 | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 5 | $52.5M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $52.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $1.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 4 | $50.7M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-123321 |
|---|---|
| SEC ERA File Number | 801-123321 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 309933 |
| Legal Entity Identifier | None |
Principal Office
1200 CORPORATE DRIVESUITE 100
HOOVER
AL
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: (504) 250-9902, Fax: None
Chief Compliance Officer
KEVIN A. PRICE
PORTFOLIO MANAGER
1200 CORPORATE DRIVE
SUITE 100
HOOVER
AL
United States
Tel:
(504) 250-9902
K*****@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SOC CORE CRE FUND LP | Hedge Fund | $22.4M | $1.0M | 5 |
| SOC INCOME FUND LP | Hedge Fund | $25.7M | $1.0M | 3 |
| SOC MULTI-STRAT INCOME & GROWTH FUND LP | Hedge Fund | $2.6M | $0.5M | 10 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PRICE, KEVIN, ANTHONY | Individual | – | MEMBER, PORTFOLIO MANAGER AND CHIEF COMPLIANCE OFFICER | 12/2020 | > 75% |