{"url":"https://nivawealth.com/firms/twin-oak-etf-330365","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/330365","regulatoryAum":1057835660,"crd":"330365","history":[{"filedOn":"2024-07-26","regulatoryAum":0,"clients":0,"employees":2,"offices":1},{"filedOn":"2025-04-15","regulatoryAum":572300000,"clients":2,"employees":5,"offices":1},{"filedOn":"2026-09-23","regulatoryAum":1057835660,"clients":5,"employees":6,"offices":1}],"secFileNumber":"801-130584","legalName":"Twin Oak ETF Company","displayName":"Twin Oak ETF","slug":"twin-oak-etf-330365","website":"https://twinoaketfs.com/","classification":{"segment":"registered_funds","segmentLabel":"Fund management","type":"fund_manager","typeLabel":"Mutual funds & ETFs","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/twinoak/","xUrl":"https://x.com/TwinOakETFs","founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"888 Worcester St, Suite 200","city":"Wellesley","state":"MA","stateName":"Massachusetts","country":"United States","postalCode":"02482"},"tradeNames":[],"registration":{"secApproved":"28 June 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":6,"advisory":3,"brokerDealerReps":1,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":1057835660,"discretionary":1057835660,"discretionaryAccounts":5,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":5,"regulatoryAum":1057835660}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Twin Oak ETF does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Brian Mackenzie","title":"Chief Compliance Officer","crd":"5258949"},{"name":"John Downing","title":"Chief Investment Officer","crd":"6566425"},{"name":"Zachary Wainwright","title":"CEO","crd":"5945718"}],"ownership":[{"label":"Twin Oak Holdings LP","detail":"Member in the 75% or more ownership band and a control person, since February 2024."},{"label":"Zachary Wainwright","detail":"Indirect owner: managing partner of Twin Oak Holdings LP and a control person, since February 2024. Also a managing member of Turtle Holdings LLC in the 50% to 75% band and a control person, since August 2025.","parent":"Twin Oak Holdings LP"},{"label":"Etfholdings LP","detail":"Indirect owner: a limited partner of Twin Oak Holdings LP in the 25% to 50% band, since February 2024.","parent":"Twin Oak Holdings LP"},{"label":"Turtle Holdings LLC","detail":"Indirect owner: a limited partner of Twin Oak Holdings LP in the 50% to 75% band and a control person, since August 2025.","parent":"Twin Oak Holdings LP"},{"label":"The Turtle Trust","detail":"Indirect owner: a owner of Turtle Holdings LLC in the 50% to 75% band and a control person, since August 2025.","parent":"Turtle Holdings LLC"},{"label":"Adam Meyer","detail":"Indirect owner: trustee of The Turtle Trust and a control person, since August 2025.","parent":"The Turtle Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Massachusetts","offices":1,"addresses":[{"street":"888 Worcester St, Suite 200","city":"Wellesley","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"617-402-5495","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"23 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/330365/PDF/330365.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 Twin Oak ETF have?","answer":"Twin Oak ETF has 5 clients and manages $1.06 billion for them, as of September 2026. They include 5 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Twin Oak ETF offer?","answer":"Twin Oak ETF provides portfolio management for investment companies.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Twin Oak ETF have?","answer":"Twin Oak ETF has 0 investment adviser representatives registered with state securities authorities, out of 6 employees, and 3 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 0 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":"Who owns Twin Oak ETF?","answer":"Twin Oak ETF is owned through a holding company by Zachary Wainwright and Etfholdings LP. Its direct owner is Twin Oak Holdings LP (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Twin Oak ETF get paid?","answer":"Twin Oak ETF is paid through a percentage of assets under management. 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 Twin Oak ETF?","answer":"Twin Oak ETF’s main office is at 888 Worcester St, Suite 200, Wellesley, MA 02482. Its phone number is 617-402-5495. Its website is twinoaketfs.com.","source":"Form ADV Part 1A, Item 1.F, filed 23 September 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."}