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CROAK CAPITAL

TOLEDO, OH · CRD 297666 · IAPD ↗ · 419-464-7000

$363.9MRegulatory AUM
6Advisory reps
6Employees
0Clients
251-500Planning clients
0Private funds
11States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

76
April 2026 — CROAK CAPITAL reports 251-500 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
66
April 2025 — CROAK CAPITAL reported RAUM up 41% ($213.1M -> $300.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
48
February 2025 — CROAK CAPITAL notice-filed in CA, CO, NC, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2024 — CROAK ASSET MANAGEMENT is now doing business as CROAK CAPITAL.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
64
April 2024 — CROAK CAPITAL reported RAUM up 49% ($142.9M -> $213.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
68
April 2024 — CROAK CAPITAL grew from 4 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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