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OAK ROOT LLC

· CRD 246788 · IAPD ↗ · oakrootllc.com · 805-395-9767

$920.0MRegulatory AUM
2Advisory reps
2Employees
0Clients
11-25Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

61
April 2024 — OAK ROOT LLC reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
April 2024 — OAK ROOT LLC now reports custody of client assets ($30.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
45
February 2024 — OAK ROOT LLC notice-filed in HI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
February 2024 — OAK ROOT LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

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