Oaks Wealth Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$30,202,040
This total excludes 7 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
42
33% high-net worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
42
HighAverage account size
$719,096
About
Oaks Wealth Management works primarily with individual and high-net-worth clients and also provides advisory services to charitable organizations and employer-sponsored retirement plans. The firm offers investment management, comprehensive and project-based financial planning, coordination with tax preparers, and educational speaking engagements.
The firm constructs individualized investment policies and manages discretionary portfolios using modern portfolio theory and predominantly passive, indexed funds combined with fundamental analysis for security selection and asset allocation. Accounts are reviewed at least quarterly, and the firm typically custodians client assets through a national broker-dealer while providing ongoing plan monitoring and implementation support.
Oaks is a single-advisor supported RIA that reports roughly $30 million in discretionary assets under management and about $68 million in assets under advisement, and it combines traditional financial planning with a formal financial therapy and counseling capability that the lead advisor maintains. The firm also offers an income-based planning engagement option and provides retirement-plan consulting under ERISA fiduciary standards, which are less common offerings for firms of similar size.
Client services
Financial planning
Portfolio management
Expertise
Business sale tax planning
Retirement income strategy
Cash flow / budgeting
College savings (529s, UTMA, etc.)
Occupation focus
Founder/Business Owner
Retired
Demographic focus
Mid-Career Professionals
Fee options
Fixed fees for Project-Based Financial Consulting range from $3,000 to $5,000; also initial PAFT fee up to $1,000
$0+: .60% + .30% = .90% (example for In-House managed assets; fees are negotiable and calculated as flat percentages applied to the entire account value) $0 - $10,000,000: 0.75% annual advisory fee for Retirement Plan Consulting (straight tier)
Hourly rate for Project-Based Financial Consulting is $300 per hour
Account minimum: $1,000,000 Minimum fee: Minimum annual fee of $5,000 for Planning, Advice, and Financial Therapy (PAFT) service Fee-only: Planning, Advice, and Financial Therapy (PAFT) fees based on household income: 1.5% of annual income with minimum $5,000 and maximum $10,000 annually
Main office location
Oaks Wealth Management
1225 North Loop West, Suite 825
Houston TX 77008, United States
Number of offices
1
Most active in
Oaks Wealth Management has reported serving >5 clients in these states in the last 12 months.
Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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