Running Oak Capital Llc
- Regulatory AUM
- $875M
- Discretionary
- $845M
- Clients
- 1,035
- Avg AUM / client
- $845K
- Accounts
- 1,035
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of Jul 02, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 1,017 | $450M | 51.5% |
| Investment companies | 1 | $368M | 42.1% |
| Charitable organizations | 10 | $8.5M | 0.97% |
| Corporations and other businesses | 7 | $48.1M | 5.5% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Seth Lawrence Cogswell | Managing Member | Jul 2012 (14y) | 75% or more | |
| Jeffrey David Broders | Chief Compliance Officer | Sep 2021 (5y) | Less than 5% | |
| Lawrence Chan | Registered representative | Jun 2022 (4y) | ||
| Yat Sing Wong | Registered representative | Sep 2022 (4y) | ||
| Theodore Joseph Gardner | Registered representative | Jun 2026 (0y) |
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) | 07/02/2026 | 982 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
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
Custody
Reported custodians
- Fidelity Brokerage Services $395M (45% of AUM) Jul 2026
- LPL Financial $132M (35% of AUM) Nov 2022
- Charles Schwab & Co. $64.9M (7% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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 02, 2026.
View current Form ADV (SEC/IAPD) ↗