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Howard Marks

Co-Chairman at Oaktree Capital Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Howard Marks is Co-Chairman of Oaktree Capital Management, L.P., a Los Angeles investment adviser managing $183B. Howard Marks has a current broker registration and no current investment-adviser registration and has passed the Series 24, Series 63 and SIE.

Role at Oaktree Capital Management

Title on Schedule A
Co-Chairman
Control
Howard Marks is a control person of Oaktree Capital Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Howard Marks has held the filed role since April 1995.

The firm

Oaktree Capital Management, L.P.
Los Angeles, CA

Form ADV filed 17 August 2026

$183B AUM373 clients282 advisers18 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 24 and Series 63 · 2004

Registrations and exams

Broker registration; no current adviser registration. Howard Marks has passed 3 qualifying exams.

Examinations

Series 6313 February 2004
Name
Uniform Securities Agent State Law Examination
Series 2424 January 2004
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination

Individual record

Full name
Howard Stanley Marks
CRD
1864172
Firm
Oaktree Capital Management, L.P.
Registration status
Broker registration; no current adviser registration
Firm bio
oaktreecapital.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Howard Marks is Oaktree’s Co-Chair and has been responsible for the firm’s investment philosophy and client communications since Oaktree formed in 1995. Official firm biography

Education

  • B.S.Ec. degree cum laude, Wharton School of the University of Pennsylvania, major in finance; M.B.A. in accounting and marketing, Booth School of Business of the University of ChicagoOfficial firm biography

Credentials and memberships

Common questions

Where does Howard Marks work?

Howard Marks has been Co-Chairman of Oaktree Capital Management, L.P. since April 1995, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 17 August 2026

Does Howard Marks have a current investment-adviser registration?

Howard Marks has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Howard Marks passed?

Howard Marks has passed 3 licensing exams: the Series 24, Series 63 and SIE. The earliest, the Series 24, was passed in January 2004.

Source: IAPD individual record, checked 17 October 2026

Is Howard Marks a CFA charterholder?

Oaktree Capital Management lists Howard Marks with the CFA credential (“CFA charterholder”) on its website. CFA Institute confirms certification status.

Source: Official firm biography

Leadership at Oaktree Capital Management

Sources

  1. IAPD individual record, CRD 1864172. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Oaktree Capital Management, L.P., filed 17 August 2026. Title, control and ownership bands.
  3. Oaktree Capital Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Howard Marks or Oaktree Capital Management, L.P. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.