SEC-registered wealth management firm Broker-dealer affiliated
Silver Oak Securities, Inc.
As of its Form ADV filed September 9, 2026, Silver Oak Securities, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Jackson, Tennessee, reported $2.4 billion in regulatory assets under management across 15,093 accounts, ranking #9 among all wealth firms in Tennessee by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 46947
- SEC file number
- 801-71178
- Registered since
- April 16, 2010
- Latest Form ADV filing
- September 9, 2026
- Legal name
- SILVER OAK SECURITIES INCORPORATED
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 85
Key figures
- Regulatory assets under management
- $2.4 billion
- Discretionary
- $2.4 billion (98.2%)
- Non-discretionary
- $44.5 million
- Accounts
- 15,093 (15,006 discretionary)
- Clients
- 8,788, approximate as reported
- Employees
- 103
- Advisory staff
- 103 performing investment advisory functions
- Average account
- $162,216
- Asset growth, 1 year
- 20.7% (from $2.0 billion a year earlier)
- Asset growth, 3-year annual rate
- 30.9% (from $1.1 billion three years earlier)
- Asset growth, 5-year annual rate
- 26.2% (from $765.8 million five years earlier)
- Client growth, 1 year
- 1.3% (from 8,671)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. 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 all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $32.0 million |
| October 3, 2011 | $51.0 million |
| October 1, 2012 | $92.0 million |
| October 1, 2013 | $139.2 million |
| October 1, 2014 | $174.2 million |
| October 1, 2015 | $137.2 million |
| October 3, 2016 | $214.8 million |
| October 2, 2017 | $231.0 million |
| October 1, 2018 | $319.3 million |
| October 1, 2019 | $418.2 million |
| October 1, 2020 | $611.6 million |
| October 4, 2021 | $765.8 million |
| October 3, 2022 | $1.0 billion |
| October 5, 2023 | $1.1 billion |
| October 1, 2024 | $1.5 billion |
| September 2, 2025 | $2.0 billion |
| October 2, 2026 | $2.4 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 8,183 clients | $1.5 billion | |
| High net worth individuals 448 clients | $954.5 million | |
| Corporations or other businesses 92 clients | $37.2 million | |
| Charitable organizations 23 clients | $3.4 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
- Selection of other advisers
Financial planning clients (Item 5.H): 101-250.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Insurance company or agency
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 119
- Also registered through a broker-dealer
- 111
- Employees who are IARs (Form ADV 5.B(3))
- 103
Designations held by the firm's IARs: CFP 24, ChFC 11, CFA 1.
Between 37 and 86 of the firm's 119 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 4 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 Tennessee
| Firm | City | RAUM |
|---|---|---|
| Legacy Wealth Management, LLC Successor: Reported on Form ADV Item 4 that it succeeded to the business of another registered investment adviser. Some of its growth may come from that acquisition, and it is shown as reported. | Memphis | $2.7 billion |
| Rather & Kittrell, Inc. | Knoxville | $2.3 billion |
| LBMC Investment Advisors, LLC | Brentwood | $2.2 billion |
| Patten and Patten, Inc. | Chattanooga | $2.2 billion |
| Capwealth Advisors, LLC | Franklin | $2.0 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Silver Oak Securities, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: silveroaksecurities.com
- Wealth management firms in Tennessee
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.