SEC-registered independent wealth management RIA
Three Oaks Wealth
As of its Form ADV filed September 1, 2026, Three Oaks Wealth, an SEC-registered independent wealth management RIA in Gold River, California, reported $100.0 million in regulatory assets under management across 343 accounts, ranking #1050 among independent RIAs in California by assets.
Registration
- Main office
- Gold River, CA
- Registration
- SEC-registered, Approved
- CRD number
- 171082
- SEC file number
- 801-137130
- Registered since
- August 20, 2026
- Latest Form ADV filing
- September 1, 2026
- Legal name
- THREE OAKS CAPITAL MANAGEMENT, LLC
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $100.0 million
- Discretionary
- $100.0 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 343 (343 discretionary)
- Clients
- 129, approximate as reported
- Employees
- 4
- Advisory staff
- 3 performing investment advisory functions
- Average account
- $291,561
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In California | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #8,019 | #1,050 | $100.0 million |
| Independent RIAs with the most clients | #7,585 | #883 | 129 |
| Independent RIAs with the most accounts | #6,359 | #712 | 343 |
| Independent RIAs with the most advisory staff | #4,542 | #493 | 3 |
| Independent RIAs with the most high net worth clients | #5,991 | #797 | 46 |
| Independent RIAs with the most CFP professionals | #3,524 | #440 | 1 |
| Newest independent RIAs | #713 | #98 | $100.0 million |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 2, 2026 | $100.0 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 46 clients | $72.5 million | |
| Pension and profit sharing plans 11 clients | $13.8 million | |
| Individuals (other than high net worth) 43 clients | $13.6 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
- Educational seminars or workshops
Financial planning clients (Item 5.H): 51-100.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Accountant or accounting firm
Custody (Item 9)
The firm reported custody of client cash or securities, $48.5 million in total.
Investment adviser representatives
- IARs registered with the firm
- 3
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 3
Designations held by the firm's IARs: CFA 1, CFP 1.
3 of the firm's 3 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in California
| Firm | City | RAUM |
|---|---|---|
| Augustus Wealth, LLC | Long Beach | $100.2 million |
| Darrell Capital Management, LLC | Rolling Hills Estates | $100.1 million |
| Investment Counselors of Redlands LLC | Redlands | $100.0 million |
| Torrey Capital Investments | Cardiff-by-the-Sea | $99.8 million |
| Fairlead Financial Advisors, LLC | Greenbrae | $99.8 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Three Oaks Wealth on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.threeoakswealth.com
- Independent RIAs in California
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.