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Seth L. Cogswell

RUNNING OAK CAPITAL LLC
Minnetonka, MN 55343
Some features on this profile are disabled
CRD#: 5010120
SC

Professional summary

Seth Lawrence Cogswell is a registered financial advisor currently at RUNNING OAK CAPITAL LLC located in Minnetonka, Minnesota and ASPENTREE CAPITAL CORPORATION located in Chapel Hill, North Carolina.

Seth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Seth has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 55 exams.

top-8-questions

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.
Founder & Portfolio Manager of Running Oak Capital, LLC, an SEC-registered investment adviser located at 4519 West 56th St., Edina, MN 55424, since July 2012. Approximately 200 hours per month devoted to Running Oak Capital, including all hours during securities trading hours except for those spent on provisions of consulting services to AspenTree Capital Corporation. Provide portfolio management services to Running Oak Capital's clients and general management responsibility for Running Oak Capital's operations.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Lawrence Cogswell's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 15, 2019 - Present

RUNNING OAK CAPITAL LLC

Office #1: 4350 Baker Road Suite 245, Minnetonka, MN 55343
RIA
CRD#: 286656
Minnetonka, MN
Current

November 24, 2021 - Present

ASPENTREE CAPITAL CORPORATION

Office #1: 410 Martin Luther King, Jr. Blvd. C/o Epting And Hackney, Attorneys At Law, Chapel Hill, NC 27514
RIA
CRD#: 118946
Chapel Hill, NC
Past

April 4, 2017 - June 30, 2017

MARKS GROUP WEALTH MANAGEMENT, INC.

RIA
CRD#: 148679
MINNETONKA, MN
Past

March 15, 2017 - December 31, 2017

RUNNING OAK CAPITAL LLC

RIA
CRD#: 286656
MINNETONKA, MN
Past

May 24, 2016 - August 16, 2016

KOYOTE TRADING LLC

BD
CRD#: 149672
NEW YORK, NY
Past

September 9, 2005 - January 4, 2010

TRILLIUM BROKERAGE SERVICES, LLC

BD
CRD#: 120064
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RO
RUNNING OAK CAPITAL LLC
FREE WORLD INVESTMENT | RUNNING OAK CAPITAL LLC

CRD#: 286656 / SEC#: 801-110116

RIA
Registered Investment Advisory firm - (3/15/2017 Approved)

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.

Highlighted states indicate IAR registrations

IAR
California
(4/17/2019)
IAR
Minnesota
(4/15/2019)
IAR
North Carolina
(11/24/2021)
IAR
Texas
(3/23/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/27/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/16/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/24/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 10/3/2005
Limited Representative-Equity Trader Exam

Current Firm

RO
RUNNING OAK CAPITAL LLC
FREE WORLD INVESTMENT | RUNNING OAK CAPITAL LLC

CRD#: 286656 / SEC#: 801-110116

RIA
Registered Investment Advisory firm - (3/15/2017 Approved)
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Contact information

Main Address
4519 W 56th St, Edina, MN 55424
Mailing Address
Phone number
(919) 656-3712
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RUNNING OAK ADV PART 2A MARCH 2025 (3/17/2025)

Regulatory assets under management

Total Number of Accounts1,039
AUM (Assets Under Management)$ 822,755,662

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.

Company Information

RUNNING OAK CAPITAL LLC

CRD#: 286656Minnetonka, MN 55343

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