FIRST OAK WEALTH MANAGEMENT, LLC of RALEIGH, NC is an SEC-registered investment adviser (CRD 288316). Regulatory assets under management: $316.2M.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Ryan Paul Thomsen | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | — |
| ABOLINS AIRIS ALEXANDER | MANAGING MEMBER; MEMBER | — |
| THOMSEN RYAN PAUL | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-03-17 | regulatory | FOWM VIOLATED SECTION G.S. 78C-16(B) AND 78C-19(A)(2)(J) OF THE NORTH CAROLINA INVESTMENT ADVISERS ACT, AND ADMINISTRATIVE RULES 18 NCAC 06A.1707(B), .1801(A)(18) AND .1808. | Final | $25K |