Royal Oak Financial Advisors, Llc
- Regulatory AUM
- $366M
- Discretionary
- $366M
- Clients
- 765
- Avg AUM / client
- $479K
- Accounts
- 1,584
- Employees
- 7
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 700 | $292M | 79.8% |
| High net worth individuals | 62 | $74.0M | 20.2% |
| Charitable organizations | 3 | $124K | 0.03% |
People (10)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Paul Edgar Erickson | Principal/Cco | Oct 2017 (9y) | 50% – 75% | |
| Robert Charles Mulcahy | Principal | Oct 2017 (9y) | 50% – 75% | |
| James Brendahl Westwood | Principal | Mar 2018 (8y) | Less than 5% | |
| John Michael Dyer | Registered representative | May 2018 (8y) | ||
| Phillip Eduardo Afif | Registered representative | Oct 2023 (3y) | ||
| Jacob Edward Gingell | Registered representative | Jul 2024 (2y) | ||
| Brian Richard Branch | Registered representative | Jan 2025 (2y) | ||
| Aidan Ohlsen Shoop | Registered representative | Jul 2026 (0y) | ||
| Hans Thomas Gappy | Registered representative | Jul 2026 (0y) | ||
| Ryan Elliot Shoop | Registered representative | Jul 2026 (0y) |
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) | 07/09/2026 | 1.06 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
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $367M (100% 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: Aug 05, 2026.
View current Form ADV (SEC/IAPD) ↗