OAK TREE FINANCIAL SERVICES, LLC
GPS PLANNING SOLUTIONS, LLC Legal Name
Adviser information for OAK TREE FINANCIAL SERVICES, LLC last updated from Form ADV on October 12th, 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 | Alabama, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 349 | $111.9M |
| Non-Discretionary | 0 | $0 |
| Total | 349 | $111.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 236 | $37.9M |
| HNW Individuals | 108 | $72.2M |
| 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 | <5 | $401,981 |
| 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 | $1.5M |
| 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 businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 10.9M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| OAK TREE FINANCIAL SERVICES ASSET MANAGEMENT PROGRAM (SWM II) | OAK TREE FINANCIAL SERVICES, LLC |
Identifiers
| SEC RIA File Number | 801-123562 |
|---|---|
| SEC ERA File Number | 801-123562 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 175281 |
| Legal Entity Identifier | None |
Principal Office
120 HOLMES AVE.SUITE 305
HUNTSVILLE
AL
United States
Monday - Friday, 8-4
Tel: (256) 704-9400, Fax: (256) 704-9444
Chief Compliance Officer
RON MOODY
MANAGING PRINCIPAL
120 HOLMES AVE.
SUITE 305
HUNTSVILLE
AL
United States
Tel:
(256) 704-9400
Fax:
(256) 704-9444
R********@******M
(Full email address available in API data)
Industry Affiliates
| BRIAN MOODY | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MOODY, RONNIE, PAUL | Individual | – | PRESIDENT / MANAGING PRINCIPAL | 05/2009 | > 75% |
| MOODY, RONNIE, PAUL | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2023 | > 75% |