{"url":"https://nivawealth.com/firms/oakwood-capital-112399","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/112399","regulatoryAum":304181730,"crd":"112399","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5463148","suffix":null,"lastName":"BREIMHORST","firstName":"JON","middleName":"DANIEL"},{"crd":"1336351","suffix":null,"lastName":"COLICH","firstName":"DANIEL","middleName":"JOSEPH"},{"crd":"4750174","suffix":null,"lastName":"DEVEREAUX","firstName":"JOHN","middleName":"F"},{"crd":"5793088","suffix":null,"lastName":"Fromm","firstName":"Steven","middleName":"Michael"},{"crd":"1528051","suffix":null,"lastName":"Goetsch","firstName":"Carol","middleName":"Ann"},{"crd":"6371003","suffix":null,"lastName":"King","firstName":"Brandon","middleName":"Douglas"},{"crd":"1375683","suffix":null,"lastName":"KING","firstName":"DOUGLAS","middleName":"STEPHAN"},{"crd":"6343030","suffix":null,"lastName":"KING","firstName":"JASON","middleName":"THOMAS"},{"crd":"5006386","suffix":null,"lastName":"LONDON","firstName":"JONATHAN","middleName":"DREW"},{"crd":"5116404","suffix":null,"lastName":"MACK","firstName":"JOSEPH","middleName":"LOY"},{"crd":"1056953","suffix":null,"lastName":"MCCROSKEY","firstName":"DARRELL","middleName":"ALVE"},{"crd":"1522269","suffix":null,"lastName":"MULLINS","firstName":"MICHAEL","middleName":"WILLIAM"},{"crd":"2696155","suffix":null,"lastName":"PEDERSON","firstName":"COREY","middleName":"DAVID"},{"crd":"2216669","suffix":null,"lastName":"ROESKE","firstName":"JASON","middleName":"WILLIAM"},{"crd":"2048927","suffix":null,"lastName":"Schaefer","firstName":"Brian","middleName":"Scott"},{"crd":"2391965","suffix":null,"lastName":"SCHUUR","firstName":"JEFFREY","middleName":"ROY"},{"crd":"6189004","suffix":null,"lastName":"SELSOR","firstName":"PAUL","middleName":"C"},{"crd":"1087620","suffix":null,"lastName":"STEVENSON","firstName":"DAVID","middleName":"BOWER"},{"crd":"863085","suffix":null,"lastName":"STROMMEN","firstName":"ROBERT","middleName":"ALAN"},{"crd":"2492179","suffix":null,"lastName":"SUNDERLAND","firstName":"RICHARD","middleName":"KENNETH"},{"crd":"4178870","suffix":null,"lastName":"WAALEN","firstName":"WENDY","middleName":null},{"crd":"8028890","suffix":null,"lastName":"Weiss","firstName":"Ryan","middleName":"Michael"}],"total":22,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-05-03","regulatoryAum":159122902,"clients":556,"employees":20,"offices":16},{"filedOn":"2022-06-13","regulatoryAum":198393332,"clients":857,"employees":20,"offices":16},{"filedOn":"2023-04-25","regulatoryAum":196034780,"clients":592,"employees":20,"offices":15},{"filedOn":"2024-03-27","regulatoryAum":220800145,"clients":585,"employees":20,"offices":15},{"filedOn":"2025-05-21","regulatoryAum":260312212,"clients":599,"employees":20,"offices":15},{"filedOn":"2026-05-12","regulatoryAum":304181730,"clients":616,"employees":20,"offices":15}],"secFileNumber":"801-120259","legalName":"Oakwood Capital, Inc.","displayName":"Oakwood Capital","slug":"oakwood-capital-112399","website":"https://oakwoodcapital.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/112399/30caed6a6953fc05-r1.webp","tone":"dark","width":1014,"height":200,"sourceUrl":"https://www.oakwoodcapital.com/","sourceLabel":"Oakwood Capital, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/oakwood-capital-inc","founded":null,"organization":"Minnesota corporation","fiscalYearEnd":"December","headquarters":{"street":"600 Highway 169 South, Suite 1410","city":"St. Louis Park","state":"MN","stateName":"Minnesota","country":"United States","postalCode":"55426"},"tradeNames":[],"registration":{"secApproved":"4 February 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":432553.2138157895,"staff":{"employees":20,"advisory":18,"brokerDealerReps":18,"insuranceAgents":18,"promoters":0},"aum":{"regulatory":304181730,"discretionary":86688497,"discretionaryAccounts":400,"nonDiscretionary":217493233,"nonDiscretionaryAccounts":651,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":427,"regulatoryAum":141568583},{"label":"High-net-worth individuals","clients":181,"regulatoryAum":121423771},{"label":"Corporations and other businesses","clients":3,"regulatoryAum":5578805},{"label":"Other","clients":5,"regulatoryAum":35610571}],"feePrograms":[{"role":"other","program":"Financial Planning and Consulting","summary":"Hourly billing rates range from $150 to $500 per hour; 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They include 427 individual clients, 181 high-net-worth individuals and 5 other clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 12 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Oakwood Capital offer?","answer":"Oakwood Capital provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Oakwood Capital use?","answer":"Oakwood Capital’s separately managed account assets are held at RBC Capital Markets, LLC (New York, NY), with $108M, Charles Schwab & Co., Inc. (San Francisco, CA), with $82.9M and Assetmark (Concord, CA), with $7.21M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Oakwood Capital have?","answer":"Oakwood Capital has 18 investment adviser representatives registered with state securities authorities, out of 20 employees, and 18 perform investment advisory functions. 18 employees are registered representatives of a broker-dealer and 18 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Oakwood Capital invest in?","answer":"At the end of its last fiscal year, Oakwood Capital’s separately managed accounts held 61% exchange-traded equities, 23% registered funds (mutual funds, ETFs, BDCs), 8% cash and equivalents, 7% investment grade corporate bonds and 2% U.S. government and agency bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Oakwood Capital?","answer":"Oakwood Capital’s direct owner is Oakwood Capital Partners, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 12 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Oakwood Capital get paid?","answer":"Oakwood Capital is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Oakwood Capital?","answer":"Oakwood Capital’s main office is at 600 Highway 169 South, Suite 1410, St. Louis Park, MN 55426. Its phone number is 952-935-4601. Its website is oakwoodcapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 12 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}