Oak Ridge Investments, Llc
- Regulatory AUM
- $1.7B
- Discretionary
- $1.7B
- Clients
- 3,920
- Avg AUM / client
- $435K
- Accounts
- 3,920
- Employees
- 13
AUM over time
Annual snapshots from Form ADV filings · as of May 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 3,626 | $960M | 56.4% |
| High net worth individuals | 197 | $475M | 27.8% |
| Pension and profit sharing plans | 18 | $13.6M | 0.8% |
| State or municipal government entities | 2 | $1.1M | 0.06% |
| Insurance companies | 4 | $105M | 6.17% |
| Corporations and other businesses | 41 | $65.7M | 3.86% |
| Other | 32 | $83.8M | 4.92% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Michael Klaskin | Manager, Chief Executive Officer And Chief Investment Officer, Member | Jan 1990 (37y) | 25% – 50% | |
| Peters, John, Edward | Member | Jul 2002 (24y) | 5% – 10% | |
| Robert Gregg Mcvicker | Manager, Member | Jul 2002 (24y) | Less than 5% | |
| Cummins, Neil, Anthony | Member | Oct 2014 (12y) | 10% – 25% | |
| Goodwin, Mark, David | Manager | Sep 2015 (11y) | Less than 5% | |
| Brinckerhoff, John, Kane | Coo | Dec 2018 (8y) | Less than 5% | |
| Scavetti, Joseph, Julian | Chief Compliance Officer | Oct 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Nsi Holdco Llc | Member | Jul 2018 | A | 10% – 25% |
Undisclosed: 0% – 50% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/04/2026 | 1.04 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Ameriprise Financial Services, Inc. $681M (40% of AUM) May 2026
- UBS $453M (27% of AUM) May 2026
- Wells Fargo $128M (10% of AUM) Aug 2022
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 04, 2026.
View current Form ADV (SEC/IAPD) ↗