Lotus Oak Capital Institute
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$215,000
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
Lotus Oak Capital Institute is a California state‑registered, fee‑based investment adviser that provides investment advisory and financial planning services to individuals and families, business entities, and retirement plans. The firm offers discretionary portfolio management by default, modular financial planning engagements, and may make private securities available to accredited investors.
The firm constructs diversified, tailored portfolios using fundamental analysis and a mix of ETFs, mutual funds, U.S. government securities, and—where suitable—individual equities, bonds, options strategies, and private investments. Managed accounts are generally custodied at Interactive Brokers and are monitored on an ongoing basis with formal reviews at least quarterly; non‑discretionary management is available by exception.
Noteworthy features include retirement plan advisory capabilities—explicitly offering ERISA 3(21) and 3(38) services—which the firm discloses as part of its service menu and is less common among peers in this category. Lotus Oak also offers financial planning via fixed project fees and annual retainers in addition to percentage‑of‑AUM portfolio fees, coordinates with other professionals at clients’ request, and reports that it has recently commenced operations with approximately $15,000 in regulatory assets under management.
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Expertise
Options & derivatives strategies
Private / alternative investments
Cash flow / budgeting
Retirement plans for business owners (SEP, solo 401k)
General retirement planning
Fee options
$0 - $1,000,000: 1.25% $1,000,001 - $5,000,000: 1.20% $5,000,001+: 1.00%
Fee-only: Financial planning fixed fees typically range from $1,500 to $7,500 per project; ongoing advice & monitoring retainer fees generally range from $3,000 to $12,000 per year
Main office location
Lotus Oak Capital Institute
Burbank CA, United States
Number of offices
1
Most active in
Lotus Oak Capital Institute has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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