Red Oak Financial Group, Llc
- Regulatory AUM
- $1.0B
- Discretionary
- $617M
- Clients
- 1,202
- Avg AUM / client
- $865K
- Accounts
- 1,885
- Employees
- 20
AUM over time
Annual snapshots from Form ADV filings · as of Jul 17, 2026
Investments (13F portfolio — 71 positions, $452,684,017)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Spdr Series Trust | STATE STREET SPD | $64,064,473 | 654,320 | 14.2% | 6.16% |
| 2 | Spdr Series Trust | STATE STREET SPD | $61,457,999 | 1,086,214 | 13.6% | 5.91% |
| 3 | Spdr Series Trust | STATE STREET SPD | $53,385,519 | 1,862,719 | 11.8% | 5.13% |
| 4 | Spdr Series Trust | STATE STREET SPD | $39,452,750 | 1,762,070 | 8.72% | 3.79% |
| 5 | Spdr Index Shs Fds | STATE STREET SPD | $29,157,941 | 638,728 | 6.44% | 2.8% |
| 6 | Spdr Series Trust | STATE STREET SPD | $28,342,570 | 845,038 | 6.26% | 2.72% |
| 7 | Spdr Series Trust | STATE STREET SPD | $22,486,776 | 465,372 | 4.97% | 2.16% |
| 8 | Capital Group Core Balanced | SHS | $18,693,109 | 543,246 | 4.13% | 1.8% |
| 9 | Spdr Index Shs Fds | STATE STREET SPD | $13,317,810 | 283,901 | 2.94% | 1.28% |
| 10 | Capital Group Global Equity | SHS | $11,072,828 | 363,042 | 2.45% | 1.06% |
| 11 | Capital Group Dividend Growe | SHS ETF | $10,745,714 | 299,323 | 2.37% | 1.03% |
| 12 | Capital Grp Fixed Incm Etf T | CORE PLUS INCM | $9,750,038 | 436,438 | 2.15% | 0.94% |
| 13 | Capital Grp Fixed Incm Etf T | CORE BOND ETF | $8,809,746 | 335,482 | 1.95% | 0.85% |
| 14 | Capital Group Dividend Value | SHS CREATION UNI | $8,618,232 | 202,591 | 1.9% | 0.83% |
| 15 | Capital Grp Fixed Incm Etf T | US MULTI-SECTOR | $7,542,614 | 276,997 | 1.67% | 0.73% |
| 16 | Capital Group Core Equity Et | SHS CREATION UNI | $6,818,193 | 177,465 | 1.51% | 0.66% |
| 17 | Spdr Series Trust | STATE STREET SPD | $6,004,227 | 62,143 | 1.33% | 0.58% |
| 18 | Capital Group Equity Etf Tr | US SMALL AND MID | $5,753,850 | 195,976 | 1.27% | 0.55% |
| 19 | Capital Group Gbl Growth Eqt | SHS CREATION UNI | $5,736,723 | 171,913 | 1.27% | 0.55% |
| 20 | Capital Group Growth Etf | SHS CREATION UNI | $5,036,046 | 125,306 | 1.11% | 0.48% |
| 21 | Ishares Tr | CORE US AGGBD ET | $3,228,399 | 32,522 | 0.71% | 0.31% |
| 22 | Ishares Tr | CORE MSCI EAFE | $3,034,986 | 33,525 | 0.67% | 0.29% |
| 23 | Capital Group New Geography | SHS | $2,709,027 | 85,810 | 0.6% | 0.26% |
| 24 | Capital Group Conservative E | SHS | $2,532,123 | 84,942 | 0.56% | 0.24% |
| 25 | Amazon Com Inc | COM | $2,272,850 | 10,913 | 0.5% | 0.22% |
Top 25 of 71 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,051 | $616M | 59.2% |
| Pension and profit sharing plans | 151 | $424M | 40.7% |
| Charitable organizations | Fewer than 5 clients | $954K | 0.09% |
| Corporations and other businesses | Fewer than 5 clients | $212K | 0.02% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Christopher Patrick Compton | Managing Member/Owner | CFP Chartered Financial Consultant | Feb 2013 (14y) | 75% or more of Rl Compton & Associates, Inc (indirect) |
| Robert Lester Compton | Registered representative | May 2018 (8y) | ||
| Robert Lloyd Dimarino | Registered representative | Jul 2019 (7y) | ||
| David Wroth Feeley | Registered representative | CFP | Aug 2021 (5y) | |
| Greg Albert Pyne | Registered representative | Jan 2025 (2y) | ||
| Jason Michael Simmons | Registered representative | Mar 2025 (1y) | ||
| Maxwell Chi Kiely | Registered representative | CFP | Feb 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Rl Compton & Associates, Inc. | Owner | Feb 2013 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 07/17/2026 | 993 KB | 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
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- LPL Financial $611M (59% of AUM) Jul 2026
- Vanguard Marketing Corporation $293M (28% of AUM) Jul 2026
- Ascensus Broker Dealer Services, Llc $259M (31% of AUM) Dec 2025
- American Funds Distributors, Inc. $77.6M (15% of AUM) Jan 2022
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 17, 2026.
View current Form ADV (SEC/IAPD) ↗