Oak Bay Financial, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Oak Bay Financial provides investment management, financial planning and pension consulting to individuals, high-net-worth clients, employee benefit plans and corporations. Services include tailored portfolio management, multi-tier financial planning (hourly, fixed-fee, and an ongoing coaching option) and pension-plan consulting that can include plan reviews, fund selection advice, participant education and ongoing monitoring.
Like many independent advisers, the firm charges asset-based advisory fees for discretionary portfolio management and builds portfolios around an asset-allocation framework. The firm primarily practices passive management using index mutual funds and ETFs with periodic rebalancing to control costs and tax exposure, while also employing fundamental, technical, cyclical and charting analysis in its research process.
The firm is affiliated with an insurance entity and the firm’s principal is licensed to sell life and health insurance and engages in related product sales and training, activities that generate additional compensation and are disclosed as potential conflicts of interest. Its offering of pension consulting and participant education (a service uncommon among peers), use of RightCapital for detailed planning analyses, and recent formation with no reported assets under management are distinguishing operational features.
Client services
Expertise
Occupation focus
Fee options
Fixed fees ranging from $1,500.00 to $20,000.00, depending on complexity, negotiable
$0 - $250,000: 1.25% $250,001 - $1,000,000: 1.00% $1,000,001+: Negotiable
$400.00 - $750.00 per hour, depending on complexity, negotiable in certain cases
Ongoing financial planning and coaching fee of $1,000 - $5,000 per month, paid monthly in advance, negotiable
Main office
375 N Stephanie St, #20
Henderson NV 89014
Advisors at this office
1
Most active in
California · Nevada · New Mexico
Also doing business as
Oak Bay Financial LLC · Oak Bay Financial, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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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