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ROYAL OAK FINANCIAL GROUP

WORTHINGTON, OH · CRD 166391 · IAPD ↗ · royaloakfinancialgroup.com · 614-842-6090

$415.8MRegulatory AUM
0Advisory reps
1Employees
0Clients
0Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
March 2026 — ROYAL OAK FINANCIAL GROUP reported RAUM up 39% ($263.0M -> $366.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
68
August 2025 — ROYAL OAK FINANCIAL GROUP now reports custody of client assets ($263.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
53
April 2025 — ROYAL OAK FINANCIAL GROUP shrank from 4 to 0 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
68
February 2025 — ROYAL OAK FINANCIAL GROUP reported RAUM up 54% ($171.0M -> $263.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
67
February 2024 — ROYAL OAK FINANCIAL GROUP reported RAUM up 63% ($105.0M -> $171.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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