{"url":"https://nivawealth.com/firms/oasis-investment-strategies-152957","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/152957","regulatoryAum":5727642244,"crd":"152957","history":[{"filedOn":"2021-04-01","regulatoryAum":4978004845,"clients":9,"employees":18,"offices":1},{"filedOn":"2022-06-08","regulatoryAum":7584065130,"clients":11,"employees":18,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":7392218395,"clients":8,"employees":15,"offices":1},{"filedOn":"2024-03-29","regulatoryAum":5328786790,"clients":6,"employees":15,"offices":1},{"filedOn":"2025-03-30","regulatoryAum":5466409875,"clients":4,"employees":11,"offices":1},{"filedOn":"2026-08-07","regulatoryAum":5727642244,"clients":4,"employees":10,"offices":1}],"secFileNumber":"801-71417","legalName":"Oasis Investment Strategies LLC","displayName":"OASIS Investment Strategies","slug":"oasis-investment-strategies-152957","website":"https://rjoasis.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/152957/3bf188ddb3923f26-r1.webp","tone":"light","width":490,"height":200,"sourceUrl":"https://www.rjoasis.com","sourceLabel":"Oasis Investment Strategies LLC, website"},"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"222 S. Riverside Plaza, Suite 1200","city":"Chicago","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60606"},"tradeNames":[],"registration":{"secApproved":"7 May 2010","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":10,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":5727642244,"discretionary":5727642244,"discretionaryAccounts":4,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":17671123},{"label":"Corporations and other businesses","clients":3,"fewerThan5":true,"regulatoryAum":5709971121}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Cme Group Inc.","shortName":"Cme Group","location":"Chicago, IL","smaAssets":3502511318},{"name":"Bank of Hope","shortName":"Bank of Hope","location":"Los Angeles, CA","smaAssets":280173857},{"name":"Intercontinental Exchange, Inc.","shortName":"Intercontinental Exchange","location":"Atlanta, GA","smaAssets":103163076},{"name":"Options Clearing Corp","shortName":"Options Clearing","location":"Chicago, IL","smaAssets":744783},{"name":"Bmo Bank, NA","shortName":"Bmo Bank, NA","location":"Chicago, IL","smaAssets":730661252},{"name":"CHS Hedging, LLC","shortName":"CHS Hedging","location":"Inver Grove Heights, MN","smaAssets":9884622},{"name":"Citibank, National Association","shortName":"Citibank, National Association","location":"Sioux Falls, SD","smaAssets":8304662},{"name":"Adm Investor Services Inc.","shortName":"Adm Investor Services","location":"Chicago, IL","smaAssets":5682203},{"name":"Deutsche Bank Trust Corporation","shortName":"Deutsche Bank Trust","location":"Jacksonville, FL","smaAssets":8290713},{"name":"Minneapolis Grain Exchange, LLC","shortName":"Minneapolis Grain Exchange","location":"Minneapolis, MN","smaAssets":10092468},{"name":"Intercontinental Exchange Europe","shortName":"Intercontinental Exchange Europe","location":"London","smaAssets":254478870},{"name":"Tristate Capital Bank","shortName":"Tristate Capital Bank","location":"Pittsburgh, PA","smaAssets":150000000},{"name":"The Bank of New York Mellon Corporation","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":230495596},{"name":"Wells Fargo Bank, NA","shortName":"Wells Fargo Bank, NA","location":"Charlotte, NC","smaAssets":242158825},{"name":"Merchants Bank of Indiana","shortName":"Merchants Bank of Indiana","location":"Carmel, IN","smaAssets":200000000}],"custodyNote":"OASIS Investment Strategies has custody of $5.73B in client assets for 4 clients.","otherCustodians":[],"leadership":[{"name":"William Dunaway","title":"Chief Executive Officer","crd":"6505923"},{"name":"Aaron Schroeder","title":"Chief Financial Officer","crd":"6507575"},{"name":"Tiffany Nealon","title":"Chief Compliance Officer","crd":"4858359"},{"name":"Mark Clements","title":"Chief Investment Officer","crd":"2648697"}],"ownership":[{"label":"JVMC Holdings Corp","detail":"Sole member in the 75% or more ownership band and a control person, since July 2007."},{"label":"RTS Investor Corp","detail":"Indirect owner: a sole shareholder of JVMC Holdings Corp in the 75% or more band and a control person, since July 2010.","parent":"JVMC Holdings Corp"},{"label":"Stonex Group Inc.","detail":"Indirect owner: a shareholder of RTS Investor Corp in the 75% or more band and a control person, since July 2025.","parent":"RTS Investor Corp"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"222 S. Riverside Plaza, Suite 1200","city":"Chicago","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"312-373-5366","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"U.S. government/agency bonds","percent":36},{"label":"Cash and cash equivalents","percent":64}],"privateFunds":0},"sources":{"adv1FilingDate":"7 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/152957/PDF/152957.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does OASIS Investment Strategies have?","answer":"OASIS Investment Strategies has 4 clients and manages $5.73 billion for them, as of August 2026. They include 3 corporations and other businesses and 1 pooled investment vehicle.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 7 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does OASIS Investment Strategies offer?","answer":"OASIS Investment Strategies provides portfolio management for pooled vehicles and portfolio management for institutions.","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 OASIS Investment Strategies use?","answer":"OASIS Investment Strategies’ separately managed account assets are held at Cme Group Inc. (Chicago, IL), with $3.5B, Bmo Bank, NA (Chicago, IL), with $731M, Bank of Hope (Los Angeles, CA), with $280M, Intercontinental Exchange Europe (London), with $254M, Wells Fargo Bank, NA (Charlotte, NC), with $242M, The Bank of New York Mellon Corporation (New York, NY), with $230M, Merchants Bank of Indiana (Carmel, IN), with $200M, Tristate Capital Bank (Pittsburgh, PA), with $150M, Intercontinental Exchange, Inc. (Atlanta, GA), with $103M, Minneapolis Grain Exchange, LLC (Minneapolis, MN), with $10.1M, CHS Hedging, LLC (Inver Grove Heights, MN), with $9.88M, Citibank, National Association (Sioux Falls, SD), with $8.3M, Deutsche Bank Trust Corporation (Jacksonville, FL), with $8.29M, Adm Investor Services Inc. (Chicago, IL), with $5.68M and Options Clearing Corp (Chicago, IL), with $745K. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 7 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does OASIS Investment Strategies have?","answer":"OASIS Investment Strategies has 0 investment adviser representatives registered with state securities authorities, out of 10 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 OASIS Investment Strategies invest in?","answer":"At the end of its last fiscal year, OASIS Investment Strategies’ separately managed accounts held 64% cash and equivalents and 36% 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 OASIS Investment Strategies?","answer":"OASIS Investment Strategies is owned through a chain of holding companies by Stonex Group Inc. Its direct owner is JVMC Holdings Corp (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 7 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does OASIS Investment Strategies get paid?","answer":"OASIS Investment Strategies is paid through a percentage of assets under management and fixed fees. 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 OASIS Investment Strategies?","answer":"OASIS Investment Strategies’ main office is at 222 S. Riverside Plaza, Suite 1200, Chicago, IL 60606. Its phone number is 312-373-5366. Its website is rjoasis.com.","source":"Form ADV Part 1A, Item 1.F, filed 7 August 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."}