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OAK FINANCIAL GROUP INC
CRD 106293File 801-40926
APPROVED
Retail clients
Filing as of Mar 17, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$177.2M
Bottom 25% of cohort (national)
Discretionary AUM
$175.1M
Non-discretionary $2.1M
Clients
131
138 accounts
Employees
4
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Mar 6, 1992
- Principal office
- Not reported
- Phone
- 203-329-9043
- Website
- HTTP://WWW.OAKFINGROUP.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $177.2M
- Discretionary AUM
- $175.1M
- Non-discretionary AUM
- $2.1M
- Discretionary accounts
- 131
- Non-discretionary accounts
- 7
- Total accounts
- 138
- AUM per client
- $1.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | Not reported |
| Non-U.S. persons | Fewer than 5 | Not reported |
| Insurance companies | Fewer than 5 | Not reported |
| Charitable organizations | Fewer than 5 | Not reported |
| Other investment advisers | Fewer than 5 | Not reported |
| High net worth individuals | 80 | $129.8M |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Pension and profit sharing plans | 9 | $8.5M |
| State or municipal government entities | Fewer than 5 | Not reported |
| Individuals (other than high net worth individuals) | 42 | $38.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Financial planning services
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 133 | 131 | decreased by2 |
| Apr 1, 2026 | AUM | $146,883,351 | $177,156,936 | increased by$30,273,585 |
| Apr 1, 2026 | Accounts | 133 | 138 | increased by5 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 154 | 133 | decreased by21 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $158,598,286 | $146,883,351 | decreased by$11,714,935 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 154 | 133 | decreased by21 |
| Apr 1, 2022 | Clients | 195 | 154 | decreased by41 |
| Apr 1, 2022 | AUM | $180,277,647 | $158,598,286 | decreased by$21,679,361 |
| Apr 1, 2022 | Accounts | 195 | 154 | decreased by41 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “OAK FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“OAK FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.