{
  "crd_number": 106601,
  "slug": "post-oak-investment-management-inc-houston-tx-106601",
  "primary_business_name": "POST OAK INVESTMENT MANAGEMENT, INC",
  "legal_name": "POST OAK INVESTMENT MANAGEMENT, INC",
  "dbas": [],
  "city": "Houston",
  "state": "TX",
  "country": "United States",
  "cbsa_code": "26420",
  "metro": {
    "cbsa_code": "26420",
    "common_name": "Houston",
    "msa_name": "Houston-Pasadena-The Woodlands, TX",
    "path": "/advisors/tx/houston"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "1999-01-06",
  "years_registered": 27,
  "period": "2026-10-01",
  "filing_date": "2026-03-29",
  "carried_forward": false,
  "raum_total": 21000000.0,
  "raum_discretionary": 21000000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 5000000.0,
      "count": 12
    },
    "high_net_worth_individuals": {
      "raum": 16000000.0,
      "count": 22
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "TX"
  ],
  "websites": [
    "https://postoakinvestment.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106601",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": "HOUSTON",
  "url": "https://advisorcensus.com/firm/post-oak-investment-management-inc-houston-tx-106601",
  "display_name": "Post Oak Investment Management, Inc",
  "summary": "Post Oak Investment Management, Inc is a state-registered investment advisory firm in Houston, TX, registered since 1999, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 29, 2026.",
  "citation": "AdvisorCensus. Post Oak Investment Management, Inc (CRD 106601): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Post Oak Investment Management, Inc compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Post Oak Investment Management, Inc reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Post Oak Investment Management, Inc located?",
      "a": "Post Oak Investment Management, Inc's principal office is in Houston, TX, according to its Form ADV."
    },
    {
      "q": "Is Post Oak Investment Management, Inc registered with the SEC or a state?",
      "a": "Post Oak Investment Management, Inc is a state-registered investment advisory firm, registered since 1999. Status as filed: APPROVED. CRD 106601."
    },
    {
      "q": "How much does Post Oak Investment Management, Inc manage?",
      "a": "Post Oak Investment Management, Inc reports $21,000,000 in regulatory assets under management in its Form ADV filing dated March 29, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Post Oak Investment Management, Inc serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (22); individuals (other than high net worth individuals) (12)."
    },
    {
      "q": "Does Post Oak Investment Management, Inc report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/106601"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/post-oak-investment-management-inc-houston-tx-106601.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 12,
      "fewer_than_5": false,
      "raum": 5000000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 22,
      "fewer_than_5": false,
      "raum": 16000000.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106601",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}