First Oak Wealth Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$204,155,984
This total excludes 5 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
149
54% high-net worth
Advisors
1
of 3 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
149
Very HighAverage account size
$1,370,174
About
First Oak provides financial planning, investment management, and high-net-worth planning and consulting to individuals, retirement and profit-sharing plans, corporations, charitable accounts, and trusts, and advises on held-away products such as variable annuities and 529 plans. The firm reports approximately $316 million in assets under discretionary management across roughly 149 client relationships.
First Oak develops individualized Investment Plans and implements them using a mix of ETFs, mutual funds, individual equity and fixed-income securities, options, and Independent Managers, applying primarily fundamental analysis while also incorporating technical and charting methods when appropriate. The firm engages an outsourced chief investment officer (Investment Research Partners) to support model portfolio construction, investment due diligence, performance attribution, and risk analysis, and monitors Independent Managers for alignment with client objectives.
Operationally, First Oak uses AI tools for drafting marketing materials and for transcribing and summarizing client meetings (with client consent), and receives institutional custody, trading, and technology support—including research access via its OCIO relationships—from its custodians. The firm disclosed a 2019 consent order issued by the North Carolina Secretary of State related to the use and supervision of a solicitor, and it does not accept proxy-voting authority, leaving votes to clients.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
Equity compensation tax strategy
Business exit / sale strategy
Charitable giving & philanthropy
Options & derivatives strategies
Occupation focus
Executive
Fee options
$0.00 - $5,000,000.00: 1.00% $5,000,001.00 - $20,000,000.00: 0.75% $20,000,001.00+: 0.50%
$1,000/hour for High Net Worth Planning and Consulting Services
Main office location
First Oak Wealth Management, LLC
9131 Anson Way, Suite 200
Raleigh NC 27615, United States
Number of offices
1
Most active in
First Oak Wealth Management, LLC has reported serving >5 clients in these states in the last 12 months.
California · North Carolina
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")