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CHARTER OAK CAPITAL MANAGEMENT

PORTSMOUTH, NH · CRD 120870 · IAPD ↗ · 800-646-5720

$1.57BRegulatory AUM
13Advisory reps
27Employees
16Clients
More than 500Planning clients
0Private funds
22States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
September 2026 — CHARTER OAK CAPITAL MANAGEMENT (PORTSMOUTH, NH) left the SEC roster (was $1.57B RAUM, 13 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
47
April 2026 — CHARTER OAK CAPITAL MANAGEMENT notice-filed in VT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
June 2025 — CHARTER OAK CAPITAL MANAGEMENT notice-filed in IL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
65
April 2025 — CHARTER OAK CAPITAL MANAGEMENT reported RAUM up 28% ($1.11B -> $1.42B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
47
February 2025 — CHARTER OAK CAPITAL MANAGEMENT notice-filed in WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
September 2024 — CHARTER OAK CAPITAL MANAGEMENT notice-filed in MD.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
April 2024 — CHARTER OAK CAPITAL MANAGEMENT notice-filed in NE.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
85
April 2024 — CHARTER OAK CAPITAL MANAGEMENT crossed $1B in regulatory AUM ($983.4M -> $1.11B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.