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FIRST OAK WEALTH MANAGEMENT, LLC
CRD 288316File 801-113049
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Aug 26, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$316.2M
Below cohort median (national)
Discretionary AUM
$316.2M
Clients
154
442 accounts
Employees
3
Below cohort median in NC
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Apr 27, 2018
- Principal office
- 9131 ANSON WAY, SUITE 200, RALEIGH, NC, 27615
- Phone
- 919-421-1555
- Website
- HTTP://WWW.FIRSTOAK.COM/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $316.2M
- Discretionary AUM
- $316.2M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 442
- Non-discretionary accounts
- 0
- Total accounts
- 442
- AUM per client
- $2.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $102.2M |
| Charitable organizations | Fewer than 5 | $8.7M |
| High net worth individuals | 80 | $182.6M |
| Pension and profit sharing plans | Fewer than 5 | $1.1M |
| Individuals (other than high net worth individuals) | 69 | $21.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- 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
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11D2
- Q11D4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 6 | 3 | decreased by3 |
| Apr 1, 2026 | Clients | 202 | 154 | decreased by48 |
| Apr 1, 2026 | AUM | $267,565,831 | $316,173,544 | increased by$48,607,713 |
| Apr 1, 2026 | Accounts | 527 | 442 | decreased by85 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 4 | 6 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 194 | 202 | increased by8 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $232,503,952 | $267,565,831 | increased by$35,061,879 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 567 | 527 | decreased by40 |
| Apr 1, 2022 | Clients | 196 | 194 | decreased by2 |
| Apr 1, 2022 | AUM | $205,288,688 | $232,503,952 | increased by$27,215,264 |
| Apr 1, 2022 | Accounts | 580 | 567 | decreased by13 |
| Jun 1, 2021 | Employees | 5 | 4 | decreased by1 |
| 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 “FIRST OAK” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“FIRST OAK” 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.