OAK TREE ADVISORY SERVICES INC
Adviser information for OAK TREE ADVISORY SERVICES INC last updated from Form ADV on March 7th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 35 | $25.0M |
| Non-Discretionary | 0 | $0 |
| Total | 35 | $25.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 30 | $10.0M |
| HNW Individuals | 10 | $15.0M |
| 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 | 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 | 40 |
| 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)Publication of periodicals or newslettersCOLLABORATIVE DIVORCE, MEDIATION |
|---|---|
| Compensation | Hourly chargesRETAINER AGREEMENTS |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-25846 |
|---|---|
| SEC ERA File Number | 801-25846 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105883 |
| Legal Entity Identifier | None |
Principal Office
5293 N ELLIOT AVE.PRESCOTT VALLEY
AZ
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 760-518-5616, Fax: 866-690-9969
Chief Compliance Officer
ROBBIN M. D'ALO
5293 N ELLIOT AVE
PRESCOTT VALLEY
AZ
United States
Tel:
760-518-5616
Fax:
866-690-9969
R**********@******************M
(Full email address available in API data)
Regulatory Contact
DALO, ROBBIN MARGUERITE
CEO
5293 N ELLIOT AVE
PRESCOTT VALLEY
AZ
United States
Tel:
(760) 518-5616
Fax:
866-690-9969
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 |
|---|---|---|---|---|---|
| D'ALO, ARMAND, EDWARD | Individual | – | COO | 10/1985 | 50-75% |
| D'ALO, ROBBIN, MARGUERITE | Individual | – | CHIEF COMPLIANCE OFFICER | 10/1985 | 50-75% |