Investment Advisory Disclosure
Oakwater Financial Advisors, LLC ("OFA") is a registered investment adviser offering advisory services in the State of Louisiana and Texas and in other jurisdictions where exempted. Registration does not imply a certain level of skill or training.
The presence of this website on the Internet shall not be directly or indirectly interpreted as a solicitation of investment advisory services to persons of another jurisdiction unless otherwise permitted by statute. Follow-up or individualized responses to consumers in a particular state by OFA in the rendering of personalized investment advice for compensation shall not be made without OFA first complying with the applicable jurisdiction’s registration requirements or qualifying for an applicable exemption.
All written content on this site is provided for informational purposes only and does not constitute investment, legal, or tax advice. Opinions expressed herein are solely those of OFA unless otherwise specifically cited. Material presented is believed to be from reliable sources; however, no representations are made by OFA as to the informational accuracy or completeness of any third-party content. All information or ideas provided should be discussed in detail with a qualified advisor, accountant, or legal counsel prior to implementation. Past performance is not indicative of future results.
Affiliated Entity Disclosures
OFA maintains affiliations with the following related entities. Clients are under no obligation to utilize the services of any affiliated entity, and OFA will always fully disclose any actual or potential conflict of interest in writing prior to a client entering into any service arrangement involving an affiliated party. Clients may obtain the same or similar services from unaffiliated third parties.
Tax & Accounting Services
Oakwater Financial Group, LLC is a Louisiana-licensed certified public accounting firm that provides tax preparation, tax planning, and accounting advisory services. OFA and Oakwater Financial Group, LLC are affiliated through common ownership and/or control. Clients who engage both OFA and Oakwater Financial Group, LLC for services may benefit from the integrated nature of coordinated investment and tax planning; however, this arrangement presents a potential conflict of interest in that OFA has a financial incentive to recommend the services of its affiliate. Any such conflict will be fully disclosed, and clients retain the right to engage an independent CPA or tax adviser of their choosing.
Insurance & Risk Management Services
Oakwater Risk Management, LLC is a licensed insurance agency operating in the State of Louisiana that provides risk management and insurance-related services. OFA and Oakwater Risk Management, LLC are affiliated through common ownership and/or control. To the extent OFA recommends insurance products or risk management strategies, clients may be referred to Oakwater Risk Management, LLC; however, clients are not required to use this affiliate and may obtain insurance services from any licensed provider of their choosing. This arrangement presents a potential conflict of interest, which will be disclosed in full prior to any client engagement.
Conflict of Interest Policy
OFA maintains a fiduciary duty to act in the best interests of its clients at all times. Consistent with this duty, OFA will:
- Fully disclose all actual and potential conflicts of interest in writing prior to any client engagement involving an affiliated entity;
- Ensure that all recommendations are made based on the client’s best interests, independent of any benefit to OFA or its affiliates;
- Provide clients with the opportunity to seek services from unaffiliated providers without penalty or disadvantage; and
- Maintain and regularly update its conflict of interest policies in accordance with applicable state securities regulations and fiduciary standards.
For additional information regarding OFA’s affiliated relationships and conflict of interest policies, please refer to OFA’s Form ADV Part 2A, available upon request or through the Investment Adviser Public Disclosure (IAPD) database.
General Website Disclaimers
No Solicitation
Nothing on this website constitutes an offer to sell, or a solicitation of an offer to buy, any security or investment product. Any such offer or solicitation will be made only by means of a written agreement and only to persons who qualify under applicable law.
Informational Purposes Only
The information contained on this website is provided for general informational purposes and should not be construed as personalized investment, tax, or legal advice. No client or prospective client should assume that any information presented on this website serves as the receipt of, or a substitute for, personalized advice from OFA or any other qualified professional.
Accuracy of Information
OFA makes reasonable efforts to ensure that information on this website is accurate and up to date; however, OFA makes no warranty, express or implied, as to the accuracy, completeness, or timeliness of any information presented. OFA reserves the right to modify the content of this website at any time without prior notice.
Third-Party Links
This website may contain links to third-party websites. These links are provided solely for convenience and do not constitute an endorsement, sponsorship, or recommendation by OFA of the linked site or its content. OFA is not responsible for the content, accuracy, or practices of any third-party website.
Form ADV & Privacy Policy
OFA’s Form ADV, which contains detailed information about the firm’s business practices, fees, services, and conflicts of interest, is available through the Investment Adviser Public Disclosure (IAPD) system maintained by FINRA. Clients and prospective clients are encouraged to review this document prior to engaging OFA’s services.
OFA’s Privacy Policy, which describes how OFA collects, uses, and protects client information, is also available for review.