{"url":"https://nivawealth.com/firms/white-oaks-investment-management-170016","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/170016","regulatoryAum":496135160,"crd":"170016","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4864800","suffix":null,"lastName":"DUTY","firstName":"WILLIAM","middleName":"ALEXANDER"}],"total":1,"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":"2021-03-22","regulatoryAum":359008381,"clients":10,"employees":2,"offices":2},{"filedOn":"2022-03-14","regulatoryAum":395414397,"clients":10,"employees":2,"offices":2},{"filedOn":"2023-03-03","regulatoryAum":363279367,"clients":10,"employees":2,"offices":2},{"filedOn":"2024-04-19","regulatoryAum":400283066,"clients":10,"employees":2,"offices":2},{"filedOn":"2025-03-12","regulatoryAum":427107764,"clients":10,"employees":3,"offices":2},{"filedOn":"2026-05-27","regulatoryAum":496135160,"clients":10,"employees":2,"offices":2}],"secFileNumber":"801-79237","legalName":"White Oaks Investment Management, Inc","displayName":"White Oaks Investment Management","slug":"white-oaks-investment-management-170016","website":null,"classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"1717 2nd Street, Suite C","city":"Sarasota","state":"FL","stateName":"Florida","country":"United States","postalCode":"34236"},"tradeNames":[],"registration":{"secApproved":"24 April 2014","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":2,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":496135160,"discretionary":496135160,"discretionaryAccounts":11,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":10,"regulatoryAum":496135160}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"White Oaks Investment Management has custody of $496M for 10 clients.","otherCustodians":[],"leadership":[{"name":"Sharon Bloodworth","title":"CEO and Chief Compliance Officer","crd":"2756129"}],"ownership":[{"label":"Sharon Bloodworth","detail":"Ceo and chief compliance officer in the 75% or more ownership band and a control person, since October 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"1717 2nd Street, Suite C","city":"Sarasota","headquarters":true}]},{"state":"Minnesota","offices":1,"addresses":[{"street":"5500 Wayzata BLVD.","city":"Minneapolis"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"941-361-9000","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":17},"sources":{"adv1FilingDate":"27 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/170016/PDF/170016.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 White Oaks Investment Management have?","answer":"White Oaks Investment Management has 10 clients and manages $496 million for them, as of May 2026. They include 10 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does White Oaks Investment Management offer?","answer":"White Oaks Investment Management provides portfolio management for pooled vehicles.","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 White Oaks Investment Management have?","answer":"White Oaks Investment Management has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 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":"Who owns White Oaks Investment Management?","answer":"White Oaks Investment Management’s direct owner is Sharon Bloodworth (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does White Oaks Investment Management get paid?","answer":"White Oaks Investment Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions 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 White Oaks Investment Management?","answer":"White Oaks Investment Management’s main office is at 1717 2nd Street, Suite C, Sarasota, FL 34236. Its phone number is 941-361-9000.","source":"Form ADV Part 1A, Item 1.F, filed 27 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."}