Fee-only adviser · Charlottesville, VA
Round Oak Capital LLC
Round Oak Capital LLC is a fee-only investment adviser registered with the securities regulators of New York, Virginia, with its main office in Charlottesville, Virginia. On its latest Form ADV, filed July 24, 2026, it reports $24M in regulatory assets under management, 5 individual clients and 1 employee who gives investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | State-registered: New York, Virginia |
|---|---|
| Firm CRD number | 139916 |
| Office | 969 2nd ST SE Charlottesville, VA 22902 |
| Phone | (434) 295-2000 |
| Website | www.roundoakcap.com |
| Regulatory assets under management | $24M |
| Individual clients | 0 non-high-net-worth, 5 high-net-worth |
| Financial planning clients | Not reported |
| How it charges | Percentage of assets, Hourly |
| Services | Portfolio management |
| Employees | 1 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | July 24, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It offers hourly or fixed-fee arrangements, so you may be able to pay for a plan without handing over your investments.
- It also charges a percentage of assets managed for ongoing investment management.
- Most of its individual clients are high-net-worth, which on Form ADV means they meet the SEC’s qualified-client or qualified-purchaser test: broadly, more than $1 million managed by the adviser or a net worth above $2 million, with the thresholds indexed for inflation.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
Other fee-only advisers in Charlottesville
- Marotta Wealth Management, Inc. $686M
- A. N. Culbertson & Company, Inc. $818M
- Morris & Wells Wealth Management $988M
- Emergent Financial Services, LLC. $195M
- Rede Wealth, LLC $346M
- Solitude Financial Services, Inc. $364M
See all 18 fee-only advisers in Charlottesville →
Nearby
- Ivy 1 firm
- North Garden 1 firm
- Crozet 2 firms
- Free Union 1 firm
- Barboursville 1 firm
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