Pin Oak Investment Advisors Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$411,915,297
Clients
298
Advisors
6
of 12 employees
About
Pin Oak Investment Advisors is an independent investment advisory firm that manages roughly $785 million for about 300 clients and is organized as a small team of six advisors. It serves a mix of individuals (including high-net-worth clients), family offices, trusts, estates, charitable organizations, business entities, and pooled/pooled-asset funds, providing discretionary portfolio management, financial planning (commonly included for investment clients), negotiated consulting, and family office services.
The firm’s investment process emphasizes fundamental and cyclical analysis and generally favors longer-term purchases for traditional securities while retaining flexibility to employ alternatives, private placements, and limited use of options or short-term strategies when warranted. Advisors tailor portfolios to client circumstances, integrate alternative and private investments for eligible clients, and provide coordinated family office services that can include discretionary management, reporting on unmanaged assets, and enhanced third‑party coordination.
Notable distinctions in the brochure include a substantive private funds business: the firm acts as manager, general partner, and sponsor for multiple private pooled vehicles structured as limited partnerships, often recommending such funds (non‑discretionarily) and at times co‑investing alongside limited partners. It also offers performance‑based fee arrangements to eligible clients and has formalized family office offerings that commonly incorporate private fund solutions; the firm recently disclosed planned limited use of AI to support operational efficiency.
Client services
Expertise
Fee options
Financial planning fixed fees generally range from $1,000 to $5,000 if charged
$0 - $500,000: 1.25% annually (standard fee) $500,000 - $3,000,000: 1.00% annually (standard fee) $3,000,000 - $6,000,000: 0.80% annually (standard fee) $6,000,000+: 0.60% annually (standard fee) $0 - $500,000: 1.50% annually (premium services fee) $500,000 - $3,000,000: 1.25% annually (premium services fee) $3,000,000 - $6,000,000: 1.00% annually (premium services fee) $6,000,000+: 0.85% annually (premium services fee)
$250 to $600 per hour for financial planning and consulting if charged
Performance-based fees offered to qualified clients with net worth ≥ $2,200,000 or ≥ $1,100,000 AUM; includes Hybrid Fee with 0.1% management fee plus 15% profits allocation subject to high water mark, or Performance Fee with 25% profits allocation subject to high water mark
Account minimum: $2,000,000 Minimum fee: $250 annual administration fee in addition to asset-based fees Fee-only: Financial planning and consulting fees generally range from $1,000 to $5,000 (fixed fee) or $250 to $600 per hour if charged; often included at no additional cost with investment management
Main office
510 Bering Drive, Ste 100
Houston TX 77057
Advisors at this office
6
Most active in
Louisiana · Texas
Also doing business as
Pin Oak Investment Advisors · Pin Oak Investment Advisors Inc
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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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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.
Advisors at this firm
J. P
Series 63, Series 65
Houston, TX
Pin Oak Investment Advisors Inc
J. Pappas is a financial advisor at Pin Oak Investment Advisors Inc with 26 years of industry experience. He holds Series 63 and Series 65 designations and previously worked at Morgan Stanley Private Bank, National Association, Morgan Stanley Smith Barney, and Morgan Stanley & Co. Incorporated from 2008 to 2017. Pin Oak Investment Advisors is an SEC-registered firm managing approximately $672 million for about 302 clients through a five-advisor team. The firm serves individuals, family offices, trusts, estates, charitable organizations, and pooled investment vehicles, offering discretionary portfolio management, financial planning, family office services, and consulting engagements. Their investment approach emphasizes fundamental and cyclical analysis with a focus on longer-term holdings, and they are noted for managing multiple affiliated private funds that constitute a significant part of their business.
Lauren H
Series 65
Houston, TX
Pin Oak Investment Advisors Inc
Lauren Hall is a financial advisor with Pin Oak Investment Advisors Inc in Houston, TX, holding a Series 65 credential and one year of industry experience. Prior to joining Pin Oak, she worked at Brown Advisory and Nuance Investments, LLC, and has experience at the University of Texas at Austin and Houston Trust Company. Pin Oak Investment Advisors is an independent firm managing approximately $785 million for around 300 clients. The firm serves individuals, family offices, trusts, estates, charitable organizations, business entities, and pooled funds, focusing on discretionary portfolio management, financial planning, consulting, and family office services with an investment approach that combines fundamental and cyclical analysis alongside alternative and private investments.
John P
Series 63
Houston, TX
Pin Oak Investment Advisors Inc
John Platt is a financial advisor at Pin Oak Investment Advisors Inc in Houston, TX, holding a Series 63 designation with 23 years of industry experience. He has been with Pin Oak Investment Advisors since 1991. Pin Oak Investment Advisors is an SEC-registered firm managing approximately $672 million for about 302 clients through a five-advisor team. The firm serves individuals, family offices, trusts, estates, charitable organizations, and pooled investment vehicles, using fundamental and cyclical analysis with a focus on longer-term investments. Pin Oak is known for sponsoring multiple affiliated private funds and offers a range of discretionary and non-discretionary services, including family office solutions and negotiated consulting engagements.
James R
CFP®, Series 63
Houston, TX
Pin Oak Investment Advisors Inc
James Rouse is a CFP® with 23 years of industry experience and has been with Pin Oak Investment Advisors, Inc. in Houston, TX since 1989. He holds a Series 63 license and is part of a five-advisor team at the firm. Pin Oak Investment Advisors manages approximately $672 million for about 302 clients, including individuals, family offices, trusts, estates, and charitable organizations. The firm employs fundamental and cyclical analysis for discretionary management of publicly traded securities and offers a range of services including financial planning and family office services, while also sponsoring multiple affiliated private funds.
Nathan N
CFP®
Houston, TX
Pin Oak Investment Advisors Inc
Nathan Norman is a CFP® professional with nine years of industry experience, currently serving as an advisor at Pin Oak Investment Advisors Inc since 2011. He is based in Houston, TX and works within a five-advisor team. Pin Oak Investment Advisors is an SEC-registered firm managing approximately $672 million for about 302 clients, including individuals, family offices, trusts, estates, and charitable organizations. The firm employs fundamental and cyclical analysis for discretionary management of publicly traded securities and offers a range of services including financial planning and family office solutions, with a notable focus on affiliated private funds and customized fee arrangements.
Daniel E
CFP®, Series 63
Houston, TX
Pin Oak Investment Advisors Inc
Daniel Estes is a CFP® with 26 years of industry experience, currently serving as an advisor at Pin Oak Investment Advisors Inc since 2010. He is based in Houston, TX, and holds a Series 63 license. Pin Oak Investment Advisors is an SEC-registered firm managing approximately $672 million for around 302 clients, including high-net-worth individuals, family offices, trusts, estates, and charitable organizations. The firm employs fundamental and cyclical analysis focused on longer-term investments and offers discretionary portfolio management, financial planning, family office services, and consulting engagements through a five-advisor team.
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