David E. Marion

POST OAK PRIVATE WEALTH ADVISORS

Houston, TX 77002

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CRD#: 2003031

Professional summary

David Evan Marion, CFA, who also goes by David Marion, is a registered financial advisor currently at POST OAK PRIVATE WEALTH ADVISORS located in Houston, Texas.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. David has worked at 7 firms and has passed the Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Marion

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 David Evan Marion'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®

CFA

Chartered Financial Analyst

Experience

Current

October 1, 2025 - Present

POST OAK PRIVATE WEALTH ADVISORS

Office #1: 1200 Smith Street Suite 610, Houston, TX 77002

RIA

CRD#: 159293

Houston, TX

Past

January 9, 2015 - October 2, 2025

SANTA FE ADVISORS LLC

RIA

CRD#: 170872

SANTA FE, NM

Past

November 15, 2011 - December 11, 2014

FIRST SANTA FE ADVISORS, LLC

RIA

CRD#: 143742

SANTA FE, NM

Past

December 18, 2008 - June 14, 2011

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

January 10, 2001 - May 29, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

CHICAGO, IL

Past

November 19, 1993 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

July 10, 1990 - November 11, 1993

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

NEW YORK, NY

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".

POST OAK PRIVATE WEALTH ADVISORS

CRD#: 159293 / SEC#: 801-117111

RIA

Registered Investment Advisory firm - (7/6/2019 Approved)

Texas

Registered Investment Advisory firm - (8/20/2019 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

Texas
(10/1/2025)

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

Series 63

Date: 7/17/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/6/1990

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/13/1989

National Commodity Futures Examination

Current Firm

POST OAK PRIVATE WEALTH ADVISORS

CRD#: 159293 / SEC#: 801-117111

RIA

Registered Investment Advisory firm - (7/6/2019 Approved)

Texas

Registered Investment Advisory firm - (8/20/2019 Terminated)

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Contact information

Main Address

1200 Smith Street Suite 610, Houston, TX 77002

Mailing Address

Phone number

(281) 580-2100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	679
AUM (Assets Under Management)	$ 282,025,465

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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Advisor Monitoring

Firm Stability Insights

David E. Marion

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Evan Marion's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANTA FE ADVISORS LLC

FIRST SANTA FE ADVISORS, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

JPMSI

DAIWA CAPITAL MARKETS AMERICA INC.

Primary Firm SEC Registration

POST OAK PRIVATE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 7/17/1990

Series 7

Date: 7/6/1990

Series 3

Date: 10/13/1989

Current Firm

POST OAK PRIVATE WEALTH ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

POST OAK PRIVATE WEALTH ADVISORS

TRUST BUT VERIFY

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