SourcingSourcing

OATH PLANNING, LLC

C29
CRD 299187·SEC 801-128168·TULSA, OK
AUM
$284.7M
$100M-$500M
Est. Revenue
$2.8M
@ 1% on AUM
Est. EBITDA
$854K
@ 30% margin
Est. Deal Value
$6.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
OATH PLANNING, LLC
CRD
299187
SEC file #
801-128168
EIN
832170135
DBA names
—

Economics

AUM
$284.7M
AUM band
$100M-$500M
AUM trajectory
'25'26
$200.6M → $284.7M▲ +42%
Client mix
Individuals Other444
Individuals High Net Worth58

Operations

Employees (total)
8
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'25'26
5 advisors → 6 advisors▲ +20%
Primary office
TULSA OK
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
02/03/2026
ADV-W filed at
—
Website
instagram.com/oathplanning/?hl=en(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
Yancy, Rodney, Thomas
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
Yancy, Rodney, Thomas
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:oathplanning.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002109944
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2026-02-12
Edgar Last Filing Date
2026-05-08
Edgar 13f Count
2
Edgar 13f Latest AUM Estimate
Filing Date2026-05-08
Accession0002109944-26-000004

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Charles Schwab6
Fidelity6
E*trade5
Altruist4
Edgar Addresses
Mailing
1214 E 33RD STTULSA, OK 74105
Business
1214 E 33RD STTULSA, OK 74105
Edgar EIN
832170135
Edgar Recent Filings
13F-HR2026-05-08 · 0002109944-26-000004
13F-HR2026-02-12 · 0002109944-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
7030454
Trust Company Affiliate
No

People (6)

6
Yancy, Rodney, Thomas
IAR · Direct Owner · 87.5%
7030454
RACHEL MARIE REINKE
IAR
7476007
BRIAN RUSSELL KELLEY
IAR
7034450
Alec Cole Spring
IAR
7232710
JACOB JACKSON KERKSIECK
IAR
7188286
CAMILLE JOANNE BOUVET
IAR
6357464