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Steven Wayne Ellis
SE
CFP
Steven Wayne Ellis
SE
CFP

Steven Ellis

Sageoak Financial, LLC
32 Years of Experience
Tulsa, OK
1 Disclosure
View SEC Summary
View SEC Summary

Steven Ellis is a CFP-designated registered investment advisor at Sageoak Financial, LLC, based in Tulsa, OK, with 32 years of industry experience. Steven operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 263 clients with $170M in assets under management.

Sageoak Financial, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4 advisors
Number of Clients
263 clients
Average Client Portfolio
$665K average
Assets Under Management
$174.8M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.65%
$250K - $500K1.40%
$500K - $750K1.25%
$750K - $1.0M1.10%
$1.0M - $1.5M0.95%
$1.5M - $2.0M0.85%
$2.0M - $5.0M0.75%
$5M+0.75%

Fees are negotiable for accounts over $5,000,001. Wealth management services use a net worth-based fee schedule ranging from 0.75% down to 0.10%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Contact

Steven Wayne Ellis
SE
Steven Ellis

Location

6120 S Yale Ave Suite 100, Tulsa, OK, 74136-4213

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2021
Withdrawn
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Steven is a managing partner at Seasons RE LLC, a commercial real estate venture, since 2014. He dedicates minimal time to this activity.

Employment History
Current Registrations
Sageoak Financial, LLC
October 2021 - Present · 5 yrs
Previous Registrations
Lexaurum Advisors
June 2017 - October 2021 · 4 yrs 4 mos
Vsr Advisory Services
September 2016 - November 2016 · 2 mos
Summit Brokerage Services, INC.Broker
September 2016 - July 2017 · 10 mos
Summit Financial Group INC
September 2016 - July 2017 · 10 mos
Vsr Financial Services, INC.Broker
August 2010 - November 2016 · 6 yrs 3 mos
Vsr Advisory Services
August 2010 - September 2016 · 6 yrs 1 mo
Next Financial Group, INC.
February 2005 - September 2010 · 5 yrs 7 mos
Next Financial Group, INC.Broker
February 2005 - September 2010 · 5 yrs 7 mos
Allstate Financial Services, LLCBroker
September 2001 - February 2005 · 3 yrs 5 mos
Sunamerica Securities, INC.Broker
July 2000 - October 2001 · 1 yr 3 mos
American General Financial Advisors, INC.Broker
January 1999 - July 2000 · 1 yr 6 mos
The Variable Annuity Marketing CompanyBroker
July 1996 - July 2000 · 4 yrs
Sunamerica Securities, INC.Broker
November 1994 - September 1996 · 1 yr 10 mos
Copeland Equities, INC.Broker
June 1994 - November 1994 · 5 mos
Sunamerica Securities, INC.Broker
June 1994 - July 1994 · 1 mo
State Registrations2 states
OKTX
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Steven Wayne Ellis
SE
Contact
Steven Ellis