Daniel J. Oaklief

B.A. SCHROCK WEALTH MANAGEMENT

Wadsworth, OH 44281

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CRD#: 6674204

Professional summary

Daniel John Oaklief is a registered financial advisor currently at B.A. SCHROCK WEALTH MANAGEMENT located in Wadsworth, Ohio.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Daniel has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel John Oaklief'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

July 21, 2020 - Present

B.A. SCHROCK WEALTH MANAGEMENT

Office #1: 131 College Street, Wadsworth, OH 44281

RIA

CRD#: 304694

Wadsworth, OH

Past

August 25, 2017 - July 22, 2020

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

CLEVELAND, OH

Past

August 3, 2016 - July 22, 2020

EQUITABLE ADVISORS, LLC

CRD#: 6627

CLEVELAND, OH

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".

B.A. SCHROCK WEALTH MANAGEMENT

B.A. SCHROCK WEALTH MANAGEMENT | B.A. SCHROCK WEALTH MANAGEMENT, INC.

CRD#: 304694 / SEC#: 801-127681

RIA

Registered Investment Advisory firm - (4/17/2023 Approved)

Ohio

Registered Investment Advisory firm - (4/20/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/20/2023 Terminated)

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).

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

Ohio
(7/21/2020)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/20/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/6/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/2/2016

General Securities Representative Examination

Current Firm

B.A. SCHROCK WEALTH MANAGEMENT

B.A. SCHROCK WEALTH MANAGEMENT | B.A. SCHROCK WEALTH MANAGEMENT, INC.

CRD#: 304694 / SEC#: 801-127681

RIA

Registered Investment Advisory firm - (4/17/2023 Approved)

Ohio

Registered Investment Advisory firm - (4/20/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/20/2023 Terminated)

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Contact information

Main Address

131 College Street, Wadsworth, OH 44281

Mailing Address

Phone number

(330) 473-1060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

B.A. SCHROCK WEALTH MANAGEMENT ADV PART 2A (8/20/2025)

B.A. SCHROCK WEALTH MANAGEMENT ADV PART 2A APPENDIX 1 (1/30/2025)

Regulatory assets under management

Total Number of Accounts	1,149
AUM (Assets Under Management)	$ 200,762,016

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.

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Daniel J. Oaklief

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel John Oaklief's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

B.A. SCHROCK WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 8/20/2017

Series 63

Date: 9/6/2016

SIE

Date: 10/1/2018

Series 7

Date: 8/2/2016

Current Firm

B.A. SCHROCK WEALTH MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

B.A. SCHROCK WEALTH MANAGEMENT

TRUST BUT VERIFY

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