ONE OAK CAPITAL MANAGEMENT, LLC of PURCHASE, NY is an SEC-registered investment adviser (CRD 170339). Regulatory assets under management: $418.5M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Stephen V Ditursi | MANAGING MEMBER; MANAGING PARTNER | — |
| Joanne Costantini | CCO | — |
| James Neil Crabb | SENIOR PORTFOLIO MANAGER | — |
| COSTANTINI JOANNE | CCO | — |
| DITURSI STEPHEN V | MANAGING MEMBER; MANAGING PARTNER; MANAGING PARTNER AND CCO (+1 more) | — |
| SCELLATO JOSEPH PAUL | MANAGING PARTNER | — |
| SHAFFER JOHN | OWNER | — |
| PERRETTI VICTOR | OWNER | — |
| CRABB JAMES NEIL | SENIOR PORTFOLIO MANAGER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-02-14 | regulatory | CONVERTED BROKERAGE ACCOUNTS TO ADVISORY ACCOUNTS WITHOUT DISCLOSING IN ADVANCE THAT THE CONVERSIONS FROM BROKERAGE ACCOUNTS TO ADVISORY ACCOUNTS RESULTED IN SIGNIFICANTLY HIGHER FEES FOR CLIENTS, AND INCREASED COMPENSATION FOR DEROSA, NOR DISCLOSED THE RESULTING CONFLICT OF INTEREST. | Final | $150K |