Mighty Oak Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Mighty Oak Management LLC provides financial planning, consulting, and fee‑based asset management to individuals as well as institutions such as corporations, trusts, estates, charitable organizations, and pension plans. Its services include managed portfolios held at outside custodians and participation in a firm‑sponsored wrap fee program.
Representatives rely on asset‑allocation and portfolio‑modeling tools to recommend investment strategies and typically select established fund managers to implement those strategies, with client contact handled through the firm rather than direct access to outside managers. The firm reports that the majority of its advisory assets are managed on a non‑discretionary basis, so clients generally approve recommendations rather than delegating full trading authority.
Compared with many peers, Mighty Oak is notable for sponsoring a wrap fee program and for acting as a private fund adviser, both of which are uncommon among similar supported firms. Its representatives also hold insurance agent/broker registrations and may receive commissions for insurance products or for recommending affiliated or unaffiliated managers; the firm states it monitors such compensation for potential conflicts.
Client services
Expertise
Fee options
Main office
Easton CT
Advisors at this office
3
Most active in
Connecticut · Georgia · Massachusetts · New Mexico · New York · Texas
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.
Forms ADV
Advisors at this firm
James M
Series 63, Series 66
Easton, CT
Mighty Oak Management LLC
James Mitchell is a financial advisor at Mighty Oak Management LLC with 24 years of industry experience. He holds Series 63 and Series 66 licenses. Prior to joining Mighty Oak Management in 2015, he worked at Invest Financial Corporation, Blue Hill Capital Partners LLC, and UBS Financial Services. Mighty Oak Management LLC provides financial planning, consulting, and fee-based asset management to individuals and institutions, including corporations, trusts, estates, charitable organizations, and pension plans. The firm uses asset-allocation and portfolio-modeling tools to recommend investment strategies, primarily managing assets on a non-discretionary basis and sponsoring a wrap fee program.
Chase W
Series 63, Series 65
Easton, CT
Mighty Oak Management LLC
Chase Withrow is a financial advisor at Mighty Oak Management LLC with nine years of industry experience. He holds Series 63 and Series 65 licenses and has been associated with Lawrence Allen Appleman since 2013. Mighty Oak Management LLC provides financial planning, consulting, and fee-based asset management to individuals, trusts, estates, corporations, pension plans, and hedge fund clients. The firm uses asset-allocation and portfolio-modeling tools to support longer-term strategic allocations with tactical adjustments and offers both discretionary and non-discretionary account management.
Stephen L
Series 63, Series 66
Easton, CT
Mighty Oak Management LLC
Stephen Landa is a financial advisor with Mighty Oak Management LLC in Easton, CT, holding Series 63 and Series 66 licenses and bringing 34 years of industry experience. He has been with Mighty Oak Management since 2005 and also serves as president and CEO of Startech LLC, a company involved in plasma converter technology development and sales. Mighty Oak Management LLC provides financial planning, consulting, and fee-based asset management to individuals, trusts, estates, corporations, pension plans, and hedge fund clients. The firm emphasizes longer-term, strategic asset allocation with tactical adjustments, offers both discretionary and non-discretionary services, and is notable for acting as a private fund adviser and operating a wrap-fee program as its primary managed-account vehicle.
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