HICKS CAPITAL MANAGEMENT, LLC
Adviser information for HICKS CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 512 | $178.2M |
| Non-Discretionary | 18 | $14.5M |
| Total | 530 | $192.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 230 | $82.3M |
| HNW Individuals | 39 | $110.4M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-113560 |
|---|---|
| SEC ERA File Number | 801-113560 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 158609 |
| Legal Entity Identifier | None |
Principal Office
4200 REGENT STREET, SUITE 200COLUMBUS
OH
United States
Monday - Friday, 9:00 AM -5:00PM
Tel: 614-944-5210, Fax: 614-944-5211
Websites
Chief Compliance Officer
LINDA M CASH
4200 REGENT STREET, SUITE 200
COLUMBUS
OH
United States
Tel:
6149445210
L****@****************M
(Full email address available in API data)
Regulatory Contact
T. D. HICKS
MANAGING MEMBER
4200 REGENT STREET, SUITE 200
COLUMBUS
OH
United States
Tel:
614-944-5210
T******@****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HICKS, TIMOTHY, D | Individual | – | MANAGING MEMBER | 09/2011 | > 75% |
| CASH, LINDA, MAE | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2013 | < 5% |