Emerging Oaks Capital LLC

Emerging Oaks Capital provides discretionary portfolio management through separately managed accounts to both individual clients and business or organizational entities, tailoring services to each client’s objectives, risk tolerance, liquidity needs, and any written restrictions. The firm manages publicly traded securities and cash equivalents and reported about $6.8 million in discretionary assets under management.

The firm’s investment process emphasizes portfolio construction, asset allocation, security selection, and ongoing oversight, typically with a long-term perspective while retaining the ability to make shorter-term or tactical adjustments; permitted investments include equities, ETFs, mutual funds, fixed income, U.S. Treasuries, money market funds, cash equivalents, and limited use of options or margin. Fees are generally asset-based (the brochure notes a typical annual fee range of 0.5%–1.0%, deducted by the custodian), but the firm states it may negotiate different fee arrangements for certain clients, and it requires that clients maintain accounts with broker-dealers or custodians approved by the firm.

Notably, the firm expressly serves individual (non‑high‑net‑worth) clients and currently does not impose an account minimum, a practice that is less common among firms in this category. The brochure also discloses that the firm may require use of an approved custodian or broker-dealer and that the firm’s principal devotes meaningful time (approximately 20 hours per week) to non-investment business activities, information prospective clients may consider when evaluating capacity and potential conflicts.