Oak Tree Advisory Services Inc
SEC-registered
Wealth Manager · Boutique (under $100M)
CRD 105883
· SEC file 801-25846
·
· WWW.OAKTREEMEDIATION.COM
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ADV data as of Mar 07, 2023
- Regulatory AUM
- $25.0M
- Discretionary
- $25.0M
- Clients
- 40
- Avg AUM / client
- $625K
- Accounts
- 35
- Employees
- 2
AUM over time
$25.0M
$285M
Jun 4, 2012
Mar 7, 2023
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 07, 2023
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 30 | $10.0M | 40.0% |
| High net worth individuals | 10 | $15.0M | 60.0% |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| D'alo, Armand, Edward | Coo | Oct 1985 (41y) | 50% – 75% | |
| D'alo, Robbin, Marguerite | Chief Compliance Officer | Oct 1985 (41y) | 50% – 75% |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/07/2023 | 1.14 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Hourly charges
- • Other fees
- • RETAINER AGREEMENTS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Other services
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 07, 2023.
View current Form ADV (SEC/IAPD) ↗