Old Oak Advisors, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$23,599,014
Clients
57
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
57
HighAverage account size
$414,018
About
Old Oak Advisors provides ongoing portfolio management and financial planning primarily for individual investors and participant‑directed retirement plans. As of December 31, 2023 the brochure reports $22,332,854 in assets under management and an additional $2,450,712 under advisement, and the firm prepares client‑specific Investment Policy Statements and offers retirement plan services including non‑discretionary advice, investment option benchmarking, vendor reviews, and fee negotiation.
The firm’s investment approach combines charting, fundamental, technical, and cyclical analysis and employs both long‑term and short‑term trading in client accounts. It also offers an Alpha Strategy — a derivatives‑based separately managed strategy that uses S&P derivatives (such as options) collateralized by cash and bond holdings, seeks to exceed the S&P 500 on a rolling three‑year basis, and carries a specified minimum and derivative‑related risks.
Distinctive features for a small independent adviser include the documented use of derivatives in a separately managed strategy and an explicit role as a co‑fiduciary for retirement plans with vendor oversight and fee negotiation. The brochure sets a benchmark objective for the Alpha Strategy and discloses the material risks and monitoring/reporting practices associated with its strategies, which is less common among peers of this size.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Active portfolio management
Fee options
Flat fees assessed annually and billed quarterly; reassessed annually based on relationship size and scope.
$0 - $1,000,000: 1.00% $1,000,001 - $5,000,000: 0.75% $5,000,001 - $10,000,000: 0.65% $10,000,001 - $20,000,000: 0.55% $20,000,001+: 0.45%
Hourly fees charged for special engagements; specific rates outlined in advance.
Account minimum: $500,000 for Alpha Strategy; no minimum for other individuals or retirement plans Minimum fee: Minimum annual fee of $5,000 for all clients Fee-only: Flat fees and hourly fees available; hourly fees generally reserved for special engagements.
Main office location
Old Oak Advisors, LLC
1025 Montgomery Hwy., Suite 113
Vestavia Hills AL 35216, United States
Number of offices
1
Most active in
Old Oak Advisors, LLC has reported serving >5 clients in these states in the last 12 months.
Alabama · Louisiana · Texas
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:
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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
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