O
Oak Brook Asset Management, Corporation
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$35,625,196
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
34
35% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
34
TypicalAverage account size
$1,047,800
About
Oak Brook Asset Management, Corporation is a single-advisor independent registered investment adviser that provides discretionary portfolio management and financial planning to individuals, pension and profit-sharing plans, trusts, charitable organizations, and business entities. The firm invests client assets across equities, fixed income, mutual funds, certificates of deposit, and may retain sub‑advisors for portions of client portfolios.
The adviser uses asset allocation as a foundation and employs charting, fundamental and technical analysis, and tactical asset allocation for short‑term positioning intended to reduce portfolio risk. Accounts are monitored daily and reviewed at least quarterly, with clients receiving custodial statements and written quarterly performance reports; in certain situations portfolios may be managed on a non‑diversified basis to complement assets held elsewhere.
Noteworthy for a firm of its size, the practice expressly serves charitable organization clients and manages both discretionary and non‑discretionary relationships, with institutional clients able to negotiate flat fee arrangements. The sole advisor holds CPA and Personal Financial Specialist credentials, uses Charles Schwab as custodian and aggregates trades for Schwab accounts, and discloses receipt of custodial services and benefits that could create an incentive to recommend that custodian.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
Retirement income strategy
General tax planning
Occupation focus
Retired
Demographic focus
Baby Boomers (Born 1946-1964)
Fee options
Flat fee billing arrangements negotiable for institutional clients
$0 - $2,499,999: 1.0% annually $2,500,000 - $4,999,999: 0.8% annually $5,000,000+: Negotiable
$150/hour for financial planning services
Main office location
Oak Brook Asset Management, Corporation
Scottsdale AZ, United States
Number of offices
1
Most active in
Oak Brook Asset Management, Corporation has reported serving >5 clients in these states in the last 12 months.
Arizona · Illinois
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.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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