Stone Oak Capital LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Stone Oak Capital LLC provides portfolio management and financial planning primarily to individual and high‑net‑worth clients, preparing tailored investment policy statements and offering ongoing discretionary management. The firm advises across a broad set of investments, including mutual funds, ETFs, fixed income, REITs, annuities, private placements, venture capital, commodities and options.
Its investment process combines fundamental analysis, modern portfolio theory and technical analysis to construct client‑specific portfolios, document risk tolerances, and generally seeks discretionary trading authority; accounts are reviewed at least quarterly with custodian‑provided reporting. Strategies include long‑ and short‑term trading and a range of options strategies (including covered, uncovered, and spreads), and the firm may incorporate less‑common instruments such as private placements and venture capital funds.
Noteworthy aspects disclosed in the Form ADV include a FINRA regulatory action involving a supervised person that resulted in a suspension from December 2021 to February 2022 and a $5,000 sanction. The firm’s personnel also perform affiliated accounting/tax‑preparation services and hold insurance licenses, arrangements the firm discloses and addresses as potential conflicts of interest, and the firm is operated by multiple principals rather than as a solo practice.
Client services
Expertise
Fee options
Financial planning fees negotiated between $250 and $2,500, fixed fee
$0 - $250,000: 1.25% $250,001 - $1,000,000: 1.00% $1,000,001+: 0.75%
Main office
986 Long Pond Road
Rochester NY 14626
Advisors at this office
1
Most active in
New York
Disclosures
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Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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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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