MW
Michael S. Wilkins
GRAY OAK CAPITAL MANAGEMENT
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 1692310
MW
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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; 537 Steamboat Road Suite 200 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, LP; Personal Investment; 537 Steamboat Road, Suite 200, Greenwich, CT, 06830; Fund; Managing Member; April 2020; 0 hours required per month; Seek investment opportunities. 4.) Gray Oak Capital Partners, LLC; Investment related; 537 Steamboat Road, Suite 200, Greenwich, CT, 06830; Fund; Managing Member; April 2020; 0 hour per month; 0 hour during trading. Seek investment opportunities. 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.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Stewart Wilkins's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 21, 2021 - Present
GRAY OAK CAPITAL MANAGEMENT, LLC
Office #1: 55 Old Field Point Road, Greenwich, CT 06830RIA
CRD#: 293681
Greenwich, CT
Current
April 16, 2019 - Present
GRAY OAK CAPITAL, LLC
Office #1: 55 Old Field Point Road Suite 200, Greenwich, CT 06830Office #2: 55 Old Field Point Road, Greenwich, CT 06830BD
CRD#: 290056
Greenwich, CT
Past
February 5, 2020 - December 31, 2020
GRAY OAK CAPITAL MANAGEMENT, LLC
RIA
CRD#: 293681
GREENWICH, CT
Past
August 21, 2019 - November 21, 2019
VELOCITY CLEARING, LLC
BD
CRD#: 126588
HAZLET, NJ
Past
March 24, 2017 - April 18, 2019
PRECISION SECURITIES, LLC
BD
CRD#: 103976
DEL MAR, CA
Past
September 19, 2016 - February 28, 2020
VELOCITY CAPITAL, LLC
BD
CRD#: 171810
New York, NY
Past
October 5, 2012 - March 11, 2015
COWEN PRIME SERVICES LLC
BD
CRD#: 153397
GREENWICH, CT
Past
December 15, 2009 - January 13, 2011
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
NEW YORK, NY
Past
March 22, 2005 - December 13, 2005
INFM SECURITIES LLC
BD
CRD#: 132850
GREENWICH, CT
Past
April 24, 1992 - December 21, 2009
PALOMA SECURITIES L.L.C.
BD
CRD#: 24234
GREENWICH, CT
Past
January 14, 1992 - March 17, 1992
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Past
June 23, 1987 - December 13, 1991
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GO
GRAY OAK CAPITAL MANAGEMENT, LLC
GRAY OAK CAPITAL MANAGEMENT, LLC
CRD#: 293681 / SEC#: 802-114088
RIA
Registered Investment Advisory firm - (8/29/2018 Terminated)Connecticut
Registered Investment Advisory firm - (1/21/2021 Approved)New York
Registered Investment Advisory firm - (9/29/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
55 Old Field Point Road, Greenwich, CT 06830
Mailing Address
Phone number
(203) 987-0015
Established
Firm type
Fiscal year end
# of Employees
4
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 50,281,642 |
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 |
Red Flags
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.
