Wealth manager, wrap-program sponsor · Toledo, OH
Croak Capital
Croak Asset Management, LLC · SEC-registered investment adviser · CRD 297666 · SEC 801-126464
At a glance
Croak Capital is an SEC-registered investment adviser based in Toledo, Ohio, with $364 million in regulatory assets under management as of its Form ADV filed April 23, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 780 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 3,801st of 8,915 wealth managers and 9,244th of 17,210 SEC-registered advisers by assets.
Main office 419-464-7000croakcapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $364M
- Rank among wealth managers
- #3,801 of 8,915
- Rank among all SEC RIAs
- #9,244 of 17,210
- Rank in Ohio
- #209 of 403
- Individual clients
- 780
- High-net-worth clients
- 90
- Accounts
- 2,079
- Discretionary
- 100% of AUM
- Employees
- 6
- Advisory staff
- 6
- Offices
- 1
Owners and executives on its Form ADV
- Timothy R. CroakManaging Member
- Eric T. CroakManaging Member / Chief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Croak Capital is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed April 2026) names Purshe Kaplan Sterling Investments as the broker-dealer its advisers are registered with.
ng investment advice on behalf of our firm are registered representatives with Purshe Kaplan Sterling Investments ("PKS"), a securities broker-dealer, registered investment advisor, member of the Financial Industry Regulatory Authority and
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 90 | $173M | 48% |
| Individuals | 690 | $171M | 47% |
| Charitable organizations | 3 | $11M | 3% |
| Corporations or other businesses | 1 | $9M | 3% |
Disciplinary disclosures
Croak Capital reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗croakcapital.com ↗
AtlasMembers
The full record on Croak Capital
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 3 years of filings
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- Growth over one, three and five years
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- Rank against 6,253 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Croak Capital manage?
Croak Capital reports $364 million in regulatory assets under management across 2,079 accounts, 100% of it on a discretionary basis, on its Form ADV filed April 23, 2026.
What kind of firm is Croak Capital?
Croak Capital is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Croak Capital’s clients?
By assets, its largest client types are high-net-worth individuals ($173 million, 90 clients); individuals ($171 million, 690 clients); charitable organizations ($11 million, 3 clients).
Does Croak Capital have any disciplinary history?
Croak Capital reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Croak Capital’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-23), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →