RED OAK FINANCIAL GROUP, LLC

C36
CRD 166912·SEC 801-80860·TOWSON, MD
AUM
$1.04B
$1B+
Est. Revenue
$10.4M
@ 1% on AUM
Est. EBITDA
$3.1M
@ 30% margin
Est. Deal Value
$25.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
RED OAK FINANCIAL GROUP, LLC
CRD
166912
SEC file #
801-80860
EIN
DBA names
Red Oak Financial Group

Economics

AUM
$1.04B
AUM band
$1B+
AUM trajectory
'20'26
$363.5M → $1.04B▲ +186%
Client mix
Individuals Other1,051
Pension Profit Sharing Plans151

Operations

Employees (total)
20
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'20'26
9 advisors → 6 advisors▼ -33%
Primary office
TOWSON MD
Branches

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
04/09/2026
ADV-W filed at

Compliance

Disclosures (firm)
0
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
RL COMPTON & ASSOCIATES, INC.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
2
Control Persons
RL COMPTON & ASSOCIATES, INC.
COMPTON, CHRISTOPHER, PATRICK
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:redoak.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (8)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
6
Bc Firm Active IA Count
7
Bc Firm IAR Count
7
Custodian Candidates
Full
Lpl Financial6
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No