OAK FINANCIAL GROUP INC
Adviser information for OAK FINANCIAL GROUP INC last updated from Form ADV on March 21st, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 131 | $139.4M |
| Non-Discretionary | 8 | $1.7M |
| Total | 139 | $141.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 43 | $20.7M |
| HNW Individuals | 82 | $112.4M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 14 | $8.0M |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
51 CYPRESS DRIVESTAMFORD
CT
United States
Monday - Friday, 9 A.M. TO 4:30 P.M.
Tel: 203-329-9043, Fax: 203-968-9152
Websites
Chief Compliance Officer
MURPHY, KORINNE P
COO & CCO
51 CYPRESS DRIVE
STAMFORD
CT
United States
Tel:
203-329-9043
Fax:
203-968-9152
K***@**************M
(Full email address available in API data)
Regulatory Contact
NEIL HACKMAN
PRESIDENT, CEO & CIO
51 CYPRESS DR
STAMFORD
CT
United States
Tel:
203-329-9043
Fax:
203-968-9152
N***@**************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 |
|---|---|---|---|---|---|
| HACKMAN, MERRYL | Individual | – | SECRETARY | 02/1990 | < 5% |
| HACKMAN, NEIL, DAVID | Individual | – | PRESIDENT, CIO, CEO & OWNER | 02/1990 | > 75% |
| MURPHY, KORINNE, PALMER | Individual | – | CHIEF OPERATIONS OFFICER & CHIEF COMPLIANCE OFFICER | 12/2005 | < 5% |
| PALMER, KYRA, ELISE | Individual | – | CO-CHIEF INVESTMENT OFFICER | 01/2011 | < 5% |