OAK CITY CONSULTING, LLC
Adviser information for OAK CITY CONSULTING, LLC last updated from Form ADV on March 13th, 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 | North Carolina, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| 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 | 110 | $153.8M |
| Non-Discretionary | 135 | $628.8M |
| Total | 245 | $782.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 28 | $14.9M |
| HNW Individuals | 0 | $0 |
| 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 | 12 | $767.7M |
| 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 | <5 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)THE COMPANY IS ENGAGED IN LICENSING AS AN INDEX PROVIDER TO EXCHANGE TRADED FUNDS ("ETFS") |
|---|---|
| Compensation | % of AUMLICENSE FEE |
Identifiers
| SEC RIA File Number | 801-74468 |
|---|---|
| SEC ERA File Number | 801-74468 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 162220 |
| Legal Entity Identifier | None |
Principal Office
214 E JONES AVEWAKE FOREST
NC
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 919-844-6450, Fax: 919-844-6452
Chief Compliance Officer
CHRISTINA BAUCOM
214 E JONES AVE
WAKE FOREST
NC
United States
Tel:
(919) 844-6450
C*******@********************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 |
|---|---|---|---|---|---|
| ROGGENSACK, ROSS, PHILLIP | Individual | – | MANAGING MEMBER, CEO, CIO | 03/2012 | > 75% |
| SMITH, MELISSA, CLAPP | Individual | – | MANAGING MEMBER AND CFO | 07/2015 | < 5% |
| BAUCOM, CHRISTINA, JEAN | Individual | – | CCO | 10/2020 | < 5% |