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STONE OAK CAPITAL LLC

ROCHESTER, NY · CRD 341363 · IAPD ↗ · stoneoakcap.com · 585-695-5588

$33.7MRegulatory AUM
2Advisory reps
2Employees
0Clients
1-10Planning clients
0Private funds
1States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

58
August 2026 — STONE OAK CAPITAL LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
August 2026 — STONE OAK CAPITAL LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
May 2026 — STONE OAK CAPITAL LLC (ROCHESTER, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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