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ONE OAK CAPITAL MANAGEMENT, LLC

PURCHASE, NY · CRD 170339 · IAPD ↗ · oneoakcapitalmgmt.com · 914-205-5821

$418.5MRegulatory AUM
11Advisory reps
14Employees
0Clients
n/aPlanning clients
3Private funds
2States
3Disclosures
wealthSegment
ApprovedSEC status

Filing changes

68
April 2026 — ONE OAK CAPITAL MANAGEMENT, LLC now reports custody of client assets ($345.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
53
April 2025 — ONE OAK CAPITAL MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 4 (0 -> 4).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
69
April 2025 — ONE OAK CAPITAL MANAGEMENT, LLC reported RAUM up 58% ($283.1M -> $447.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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