Asset manager · Wake Forest, NC
Oak City Investment Consulting
Oak City Consulting, LLC · SEC-registered investment adviser · CRD 162220 · SEC 801-74468
At a glance
Oak City Investment Consulting is an SEC-registered investment adviser based in Wake Forest, North Carolina, with $1.4 billion in regulatory assets under management as of its Form ADV filed July 28, 2026. Its largest client group by assets is charitable organizations, and it reports 32 individual clients. By Form ADV it is a asset manager, ranked 1,194th of 3,218 asset managers and 4,385th of 17,210 SEC-registered advisers by assets.
Main office 919-844-6450oakcityconsulting.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.4B
- Rank among asset managers
- #1,194 of 3,218
- Rank among all SEC RIAs
- #4,385 of 17,210
- Rank in North Carolina
- #56 of 288
- Individual clients
- 32
- High-net-worth clients
- 0
- Accounts
- 336
- Discretionary
- 12% of AUM
- Employees
- 6
- Advisory staff
- 3
- Offices
- 1
Owners and executives on its Form ADV
- Ross P. RoggensackManaging Member, CEO, CIO, Owner
- Melissa C. SmithManaging Member, CFO, Owner
- Christina J. BaucomCCO
- Daniel A. WardOwner
- Bretton S. DanforthOwner
Custody and brokerage
5 custodians
- U.S. Bancorp$436M33%
- Regions Bank$313M24%
- Truist Securities$258M19%
- Fidelity$195M15%
- Commerce Bank$124M9%
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Charitable organizations | 14 | $1.4B | 99% |
| Individuals | 32 | $20M | 1% |
Disciplinary disclosures
Oak City Investment Consulting reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗oakcityconsulting.com ↗
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The full record on Oak City Investment Consulting
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, ten years of filings
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- Growth over one, three and five years
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- Rank against 961 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- 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 Oak City Investment Consulting manage?
Oak City Investment Consulting reports $1.4 billion in regulatory assets under management across 336 accounts, 12% of it on a discretionary basis, on its Form ADV filed July 28, 2026.
What kind of firm is Oak City Investment Consulting?
Oak City Investment Consulting is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Oak City Investment Consulting’s clients?
By assets, its largest client types are charitable organizations ($1.4 billion, 14 clients); individuals ($20 million, 32 clients).
Does Oak City Investment Consulting have any disciplinary history?
Oak City Investment Consulting 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 Oak City Investment Consulting’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 (2026-07-28), 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 →