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Red Oak Capital Advisors
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$10,220,455
Total clients
19
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
19
Average account size
$537,919
About
Red Oak Capital Advisors is a small independent registered investment adviser serving individuals, trusts, estates, and business entities, managing roughly $10.2 million for a limited client base. The firm provides investment management (both discretionary and non-discretionary), financial planning, and consulting services typical of solo practitioners.
The firm’s investment approach begins with strategic asset allocation and fundamental analysis to build a baseline portfolio that is customized and periodically rebalanced to client objectives. A notable operational feature is that the majority of assets are managed on a non-discretionary basis, so many clients must approve transactions rather than cede full trading authority to the adviser.
The firm is affiliated with an accounting practice and its principal maintains CPA and financial planning credentials, providing tax and accounting services separately for additional compensation; the two entities may refer clients to each other, which the brochure identifies as a potential conflict of interest (no referral fees are paid). The combination of an active accounting affiliation, a predominance of non-discretionary assets, and a small, closely held client roster is uncommon among independent, solo-advisor firms.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
General tax planning
Wealth management
Cash flow / budgeting
Fee options
Fixed fees per calendar quarter for investment management; fixed fees for financial planning services based on complexity
1.0% annually
$300 per hour
Account minimum: $100,000
Main office location
Red Oak Capital Advisors
604 N Main St
Fuquay Varina NC 27526, United States
Number of offices
1
Most active in
Red Oak Capital Advisors has reported serving >5 clients in these states in the last 12 months.
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 active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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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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