Wealth manager, independent · Towson, MD
Red Oak Financial Group
Red Oak Financial Group, LLC · SEC-registered investment adviser · CRD 166912 · SEC 801-80860
At a glance
Red Oak Financial Group is an SEC-registered investment adviser based in Towson, Maryland, with $1.0B in regulatory assets under management as of its Form ADV filed July 17, 2026. It reports 1,051 individual clients, 0 of them high-net-worth, holding an average of about $0.6 million each, and 20 employees. That ranks it 1065th among the nation’s 5,657 independent wealth management RIAs and 25th of 104 in Maryland. It reports 2 custodians for its clients’ separately managed accounts: LPL Financial and Vanguard.
Main office 410-321-0168redoak1978.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.0B
- Rank among independent wealth managers
- #1,065 of 5,657
- Rank among all SEC RIAs
- #5,259 of 17,210
- Rank in Maryland
- #25 of 104
- Individual clients
- 1,051
- High-net-worth clients
- 0
- Accounts
- 1,885
- Discretionary
- 59% of AUM
- Employees
- 20
- Advisory staff
- 6
- Offices
- 1
Owners and executives on its Form ADV
- Christopher P. ComptonChief Compliance Officer/managing Member
Custody and brokerage
Broker-dealer
Hybrid RIA
Red Oak Financial Group is a hybrid RIA: 5 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed July 2026) names LPL Financial as the broker-dealer its advisers are registered with.
s Advisory Persons of Red Oak Financial are also registered representatives of LPL Financial LLC ("LPL Financial"), a securities broker-dealer, and a member of the Financial Industry Regulatory Authority (“FINRA”) and the Securities Invest
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 1,051 | $616M | 59% |
| Pension and profit sharing plans | 151 | $424M | 41% |
| Charitable organizations | – | $1M | <1% |
| Corporations or other businesses | – | $0M | <1% |
Disciplinary disclosures
Red Oak Financial Group 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
Form ADV and brochures on the SEC’s adviser search ↗redoak1978.com ↗
AtlasMembers
The full record on Red Oak Financial Group
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 3,436 peers of its type and size
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- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Maryland
All of Maryland →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Sc&h WealthHunt Valley | $1.2B | 668 |
| The Kelly GroupBel Air | $1.1B | 1,087 |
| Financial ConsulateHunt Valley | $1.1B | 844 |
Background
Questions
How much does Red Oak Financial Group manage?
Red Oak Financial Group reports $1.0B in regulatory assets under management across 1,885 accounts, 59% of it on a discretionary basis, on its Form ADV filed July 17, 2026.
How many clients does Red Oak Financial Group have?
It reports 1,051 individual clients: 0 high-net-worth individuals and 1,051 other individuals. Individuals account for about 59% of its regulatory assets.
Where is Red Oak Financial Group headquartered?
Its main office is in Towson, Maryland. It reports 1 office in total and 20 employees, 6 of whom perform investment advisory functions.
How does Red Oak Financial Group charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Red Oak Financial Group use?
It reports 2 custodians for its clients’ separately managed accounts: LPL Financial and Vanguard. On Schedule D of its Form ADV filed July 17, 2026, it reports these amounts held: LPL Financial ($611M); Vanguard ($293M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Red Oak Financial Group a hybrid RIA with a broker-dealer?
Red Oak Financial Group is a hybrid RIA: 5 of its employees are also registered representatives of a broker-dealer. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Red Oak Financial Group a fiduciary?
As an SEC-registered investment adviser, Red Oak Financial Group owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 5 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Red Oak Financial Group’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 (2026-07-17), 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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →