Post Oak Investment Management, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$21,000,000
Clients
34
65% high-net worth
Advisors
1
of 1 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
34
TypicalAverage account size
$617,647
About
Post Oak Investment Management, Inc. is a small, independent registered investment adviser that provides discretionary managed-account services to individuals and institutional entities such as banks, credit unions, trusts, estates and corporations. The firm offers tailored investment advice that can include cash flow management, retirement planning and estate planning as part of its managed account services.
The firm uses a proprietary Model Asset Allocation Program (MAAP®) to match clients to constructed portfolios that generally employ no-load mutual funds and ETFs, and asks clients to complete a Client Profile Questionnaire and a Confidential Investor Profile to guide model selection and any customization. Its investment process combines fundamental and technical analysis and can employ a wide range of instruments across short-, medium- and long-term strategies, including equity and fixed-income securities, options, short sales, margin transactions and futures when appropriate.
Distinctive features for a single-advisor firm include its relatively small scale — roughly $19 million in discretionary assets across 36 clients — and that the president and chief investment officer is the sole shareholder and the person responsible for account review and investment decisions. The firm also discloses that it does not vote client proxies (clients vote their own proxies) and the Brochure Supplement reports a personal Chapter 7 petition for the principal filed in September 2018 and discharged in January 2019.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Fee options
2% annually
Possible commissions as described, excluded from AUM fee calculation if applicable
Account minimum: $250,000 preferred but not required
Main office location
Post Oak Investment Management, Inc.
4265 San Felipe, Suite 1100
Houston TX 77027-2998, United States
Number of offices
1
Most active in
Post Oak Investment Management, Inc. 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 active or affiliated with:
Real estate agent
They facilitate real estate transactions and may earn commissions.
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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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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