Lotus Oak Capital Institute
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
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
Burbank CA
Advisors at this office
1
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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.
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