Red Oak Advisors LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$4,850,000
Clients
61
0% high-net-worth
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
61
Very HighAverage account size
$79,508
About
The firm provides investment advisory and financial planning services primarily to individual clients, but also to trusts, retirement plans and business entities. Services include discretionary portfolio management, written financial plans or consultations, and access to separately managed accounts through Schwab’s Managed Account Select and Access programs, and the firm does not impose a formal account minimum.
The firm blends fundamental, technical (charting), and cyclical analysis and offers both long- and short-term trading strategies, including short sales and margin transactions; portfolios are reviewed at least quarterly and managers selected for SMA accounts are monitored on an ongoing basis. Clients may grant investment discretion or place reasonable restrictions, and the firm conducts in-person or telephone meetings to assess goals and risk before proposing investment plans.
Compared with many solo independent advisers, the firm also provides business-oriented services such as corporate structure analysis, cost segregation studies, real estate analysis and mortgage/debt evaluations, and its principal maintains registrations as a broker-dealer representative and as an insurance agent — arrangements that can create potential conflicts of interest when commissionable products are recommended. The firm participates in Schwab’s institutional programs and receives related research and practice-support benefits while selecting third‑party managers for SMA programs.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
General retirement planning
Charitable giving & philanthropy
College savings (529s, UTMA, etc.)
General tax planning
Fee options
Flat fees generally range from $1,500 to $10,000 for financial planning and consulting services
$0+: Negotiable up to 1.25% annually for Portfolio Management $0+: 1.00% annually for Separately Managed Accounts (SMA) plus 0.50% annual fee charged by Schwab
$350 per hour for financial planning and consulting services
Main office location
Red Oak Advisors LLC
5100 Poplar Ave, Suite 2749
Memphis TN 38137, United States
Number of offices
1
Most active in
Red Oak Advisors LLC has reported serving >5 clients in these states in the last 12 months.
Mississippi · Tennessee
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:
-
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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