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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 1b 10b

OAK CITY INVESTMENT CONSULTING

OAK CITY CONSULTING, LLC, CRD 162220

WAKE FOREST, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6619a567-2d59-e4ff-6b96-da49579727d3

Data as of Jul 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Feb 28, 2012 to Jul 28, 2026
40 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.01 fund_share=0.0 institutional_share=0.99 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.4BItem 5.F on the latest filing (2026-07-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $171M
Private client RAUM: $20.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $477Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 336
Individual clients: 32
High net worth clients: 0
SEC number: 801-74468
CRD: 162220
Filings on the tape: 40
First filed: Feb 28, 2012
Latest filed: Jul 28, 2026
Organised: Limited Liability Company, NC
Website: oakcityinvestmentconsulting.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ROSS PHILLIP ROGGENSACK	n/a	WAKE FOREST, NC	14	36	2	no
DANIEL ALEXANDER WARD	n/a	WAKE FOREST, NC	8	20	n/a	no
BRETTON SAUNDERS DANFORTH	n/a	WAKE FOREST, NC	4	14	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BAUCOM, CHRISTINA, JEAN	Cco	Na	yes	10/2020	Mar 9, 2021	Mar 13, 2024
ROGGENSACK, ROSS, PHILLIP	MANAGING MEMBER, CEO, CIO	E	yes	03/2012	Apr 11, 2012	Mar 13, 2024
SMITH, MELISSA, CLAPP	MANAGING MEMBER AND CFO	Na	yes	07/2015	Jul 15, 2015	Mar 13, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 11, 2026	$1.4B	$171M	6	3	0	n/a	n/a
2024	Mar 14, 2025	$1.3B	$158M	6	3	0	n/a	n/a
2023	Mar 13, 2024	$783M	$154M	6	3	0	n/a	n/a
2022	Mar 15, 2023	$766M	$159M	6	3	0	n/a	n/a
2021	Mar 9, 2022	$776M	$21.2M	6	2	0	n/a	n/a
2020	Mar 9, 2021	$691M	$18.4M	5	2	0	n/a	n/a
2019	Mar 4, 2020	$512M	$10.1M	3	2	0	n/a	n/a
2018	Feb 6, 2019	$471M	$8.6M	3	2	0	n/a	n/a
2017	Mar 23, 2018	$480M	$10.0M	1	1	0	n/a	n/a
2016	Mar 28, 2017	$363M	$35.6M	1	1	n/a	n/a	n/a
2015	Feb 8, 2016	$347M	$0	1	1	n/a	n/a	n/a
2014	Mar 17, 2015	$344M	$0	1	1	n/a	n/a	n/a
2013	Feb 26, 2014	$330M	$0	1	1	n/a	n/a	n/a
2012	Jan 30, 2013	$308M	$0	1	1	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.4B	$1.3B	13.3%	$766M	23.2%	6	6	0	0

Relationships

Registered with (4)

← BRETTON SAUNDERS DANFORTHAdvisorregistration: current employment
Jul 21, 2022 to presentfactForm ADV
← DANIEL ALEXANDER WARDAdvisorregistration: current employment
Apr 11, 2018 to presentfactForm ADV
← ROSS PHILLIP ROGGENSACKAdvisorregistration: current employment
Apr 11, 2012 to presentfactForm ADV
← RYAN PAUL THOMSENAdvisorregistration: previous registration
May 27, 2015 to Apr 3, 2017factForm ADV

Controls (3)

← ROGGENSACK, ROSS, PHILLIPOwnerMANAGING MEMBER, CEO, CIO, ownership code E, individual
Apr 11, 2012 to Mar 13, 2024factForm ADV
← BAUCOM, CHRISTINA, JEANOwnerCCO, ownership code NA, individual
Mar 9, 2021 to Mar 13, 2024factForm ADV
← SMITH, MELISSA, CLAPPOwnerMANAGING MEMBER AND CFO, ownership code NA, individual
Jul 15, 2015 to Mar 13, 2024factForm ADV

Dated events

Occurred
Mar 14, 2025
Regulatory AUM changed
Oak City Investment Consulting reported RAUM $1.3B, up 61% from $782.5M (2024-03-13 to 2025-03-14)
Form ADVobserved 3 days ago
$481M
Occurred
Mar 9, 2021
Control person joined
Jean Christina Baucom (Cco) appeared on Schedule A of Oak City Investment Consulting
Form ADVobserved 3 days ago
Occurred
Mar 23, 2018
Regulatory AUM changed
Oak City Investment Consulting reported RAUM $480.1M, up 41% from $339.5M (2018-01-04 to 2018-03-23)
Form ADVobserved 3 days ago
$141M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6619a567-2d59-e4ff-6b96-da49579727d3
First observed: Feb 28, 2012
Last observed: Jul 28, 2026 52 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

OAK CITY INVESTMENT CONSULTING

OAK CITY CONSULTING, LLC, CRD 162220

WAKE FOREST, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6619a567-2d59-e4ff-6b96-da49579727d3

Data as of Jul 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:38 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROSS PHILLIP ROGGENSACK

n/a

WAKE FOREST, NC

DANIEL ALEXANDER WARD

n/a

WAKE FOREST, NC

n/a

BRETTON SAUNDERS DANFORTH

n/a

WAKE FOREST, NC

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAUCOM, CHRISTINA, JEAN

Cco

yes

10/2020

Mar 9, 2021

Mar 13, 2024

ROGGENSACK, ROSS, PHILLIP

MANAGING MEMBER, CEO, CIO

yes

03/2012

Apr 11, 2012

Mar 13, 2024

SMITH, MELISSA, CLAPP

MANAGING MEMBER AND CFO

yes

07/2015

Jul 15, 2015

Mar 13, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 11, 2026

$1.4B

$171M

n/a

2024

Mar 14, 2025

$1.3B

$158M

n/a

2023

Mar 13, 2024

$783M

$154M

n/a

2022

Mar 15, 2023

$766M

$159M

n/a

2021

Mar 9, 2022

$776M

$21.2M

n/a

2020

Mar 9, 2021

$691M

$18.4M

n/a

2019

Mar 4, 2020

$512M

$10.1M

n/a

2018

Feb 6, 2019

$471M

$8.6M

n/a

2017

Mar 23, 2018

$480M

$10.0M

n/a

2016

Mar 28, 2017

$363M

$35.6M

n/a

2015

Feb 8, 2016

$347M

n/a

2014

Mar 17, 2015

$344M

n/a

2013

Feb 26, 2014

$330M

n/a

2012

Jan 30, 2013

$308M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.4B

$1.3B

13.3%

$766M

23.2%