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Michael Stewart Wilkins

GRAY OAK CAPITAL MANAGEMENT

GREENWICH, CT

·CRD# 1692310·39 years experience

Professional Summary

Michael Stewart Wilkins is a registered financial advisor currently at GRAY OAK CAPITAL MANAGEMENT, LLC located in Greenwich, Connecticut and GRAY OAK CAPITAL, LLC located in Greenwich, Connecticut. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

GRAY OAK CAPITAL MANAGEMENT, LLC·CRD# 293681

RIA

55 Old Field Point Road, Greenwich, CT 06830

January 21, 2021 - Present

GRAY OAK CAPITAL, LLC·CRD# 290056

BD

1. 55 Old Field Point Road Suite 200, Greenwich, CT 068302. 55 Old Field Point Road, Greenwich, CT 06830

April 16, 2019 - Present

GRAY OAK CAPITAL MANAGEMENT, LLC·CRD# 293681

RIA

Greenwich, CT

February 5, 2020 - December 31, 2020

VELOCITY CLEARING, LLC·CRD# 126588

BD

Hazlet, NJ

August 21, 2019 - November 21, 2019

PRECISION SECURITIES, LLC·CRD# 103976

BD

Del Mar, CA

March 24, 2017 - April 18, 2019

VELOCITY CAPITAL, LLC·CRD# 171810

BD

New York, NY

September 19, 2016 - February 28, 2020

COWEN PRIME SERVICES LLC·CRD# 153397

BD

Greenwich, CT

October 5, 2012 - March 11, 2015

BMO CAPITAL MARKETS CORP.·CRD# 16686

BD

New York, NY

December 15, 2009 - January 13, 2011

INFM SECURITIES LLC·CRD# 132850

BD

Greenwich, CT

March 22, 2005 - December 13, 2005

PALOMA SECURITIES L.L.C.·CRD# 24234

BD

Greenwich, CT

April 24, 1992 - December 21, 2009

GOLDMAN SACHS EXECUTION & CLEARING, L.P.·CRD# 3466

BD

New York, NY

January 14, 1992 - March 17, 1992

GLEACHER & COMPANY SECURITIES, INC.·CRD# 298

BD

New York, NY

June 23, 1987 - December 13, 1991

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Current Firm

GO

GRAY OAK CAPITAL MANAGEMENT, LLC

GRAY OAK CAPITAL MANAGEMENT, LLC

CRD#: 293681 / SEC#: 802-114088

RIA

Registered Investment Advisory firm - SEC (8/29/2018 Terminated)

Connecticut

Registered Investment Advisory firm - Connecticut (1/21/2021 Approved)

New York

Registered Investment Advisory firm - New York (9/29/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

55 Old Field Point Road, Greenwich, CT 06830

Phone Number

(203) 987-0015

# of Employees

4

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

9

AUM (Assets Under Management)

$60,223,751

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	12/9/2019

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.) Silver Bay, LLC; Personal investment related; 40 Ettl Lane Greenwich, CT; Invest in Business Opportunities and lend monies; Managing Member; December 2014; 0 hrs per month; 0 hrs during trading; Holding company for business interests. I personally invest thru this Holding Company, investments include properties and other businesses. 2.) Gray Oak Capital Management, LLC; Investment related; 55 Old Field Point Road, Greenwich, CT, 06830; Investment Management; Partner/Founder; 2018; 4 hrs per month; 1 hr during trading; To seek investment opportunities. 3.) Gray Oak Opportunity Fund GP, Investment Related; 55 Old Field Point Road, Greenwich, CT, 06830; Fund; Managing Member; April 2020; 0 hours required per month; Seek investment opportunities, receive Mgmt Fees. 4.) Gray Oak Capital Partners, LLC; Investment related; 55 Old Field Point Road, Greenwich, CT, 06830; Fund; Managing Member; April 2020; 0 hour per month; 0 hour during trading. Seek investment opportunities, receive Mgmt Fees. 5.) VCT Holdings LLC; Personal Investment related; 100 Wall Street, New York, NY, 10005; Board Member; August 2020; 1 hour per week; 0 hour during trading. Holding Company. 6.) VCT Holdings II LLC; Investment related; 100 Wall Street, New York, NY, 10005; Board Member; August 2020; 0 hour per month; 0 hour during trading. Holding Company.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

California
(9/29/2020)

RR

Colorado
(6/18/2021)

RR

Connecticut
(4/30/2019)

IAR

Connecticut
(1/21/2021)

RR

District of Columbia
(6/18/2021)

RR

Florida
(10/28/2020)

RR

Illinois
(12/1/2020)

RR

Massachusetts
(10/21/2020)

RR

Michigan
(8/27/2021)

RR

Minnesota
(11/3/2020)

RR

New Jersey
(9/21/2020)

RR

New York
(9/1/2020)

IAR

New York
(9/29/2023)

RR

Texas
(10/19/2020)

RR

Washington
(9/1/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1987About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 1987About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2005About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Michael Stewart Wilkins's CRS (Customer Relationship Summary).

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MW

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