Oak Tree Securities, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$3,689,200
Total clients
5
0% high-net worth
Total advisors
3
of 4 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
2
Average account size
$737,840
About
Oak Tree Securities, Inc. provides estate and financial advisory services to individuals and couples, salaried executives, small business owners and retirees, and also offers services for pension and profit‑sharing plans, trusts and estates. Services described in the brochure include portfolio analysis, retirement projections, tax and estate planning, education funding, brokerage investment advice and portfolio management.
The firm’s investment approach emphasizes diversified allocations combining less-volatile fixed income with growth and inflation‑hedged equity exposures, selecting mutual funds for consistent historical performance and holding individual stocks with a buy‑and‑hold orientation. Accounts are managed on a non‑discretionary basis—transactions are executed only with client consent—and the firm provides ongoing reviews and periodic performance reporting without applying market timing.
Oak Tree Securities operates both as a registered investment adviser and a FINRA‑registered broker‑dealer, clearing brokerage transactions through Wedbush, and its representatives may receive commissions and insurance compensation; it also maintains a grandfathered affiliation with another registered investment adviser, features that are uncommon among similar supported firms. The advisory business is notable for being primarily non‑discretionary and focused on non‑high‑net‑worth individual clients rather than a high‑net‑worth clientele, a client and operational mix that differs from many peers.
Client services
Expertise
Occupation focus
Fee options
$0 - $250,000: 1.50% $250,001 - $500,000: 1.25% $500,001 - $1,500,000: 1.00% $1,500,001 - $2,500,000: 0.75% $2,500,001+: 0.65%
Representatives earn commissions as registered representatives; commissions from sale of insurance products and non-advisory securities brokerage transactions.
SEC Form ADV Part 1 reports hourly charges, but specific hourly rates not stated in brochure.
Main office location
Oak Tree Securities, Inc.
4049 1 St Street, Suite 129
Livermore CA 94551-4949, United States
Number of offices
3
Most active in
California · Hawaii
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
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.
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")