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RED OAK FINANCIAL GROUP

TOWSON, MD · CRD 166912 · IAPD ↗ · 410-321-0168

$1.04BRegulatory AUM
6Advisory reps
20Employees
0Clients
0Planning clients
0Private funds
11States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
May 2026 — RED OAK FINANCIAL GROUP now reports custody of client assets ($197.8M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
85
April 2026 — RED OAK FINANCIAL GROUP crossed $1B in regulatory AUM ($836.8M -> $1.04B).
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.