9823 CAPITAL, LP
Adviser information for 9823 CAPITAL, LP last updated from Form ADV on March 26th, 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $117.9M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $117.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1 | $550,000 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $117.3M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-127155 |
|---|---|
| SEC ERA File Number | 801-127155 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 324329 |
| Legal Entity Identifier | None |
Principal Office
200 CRESCENT COURT, SUITE 1450DALLAS
TX
United States
Monday - Friday, 8 A.M. TO 5 P.M.
Tel: 214-880-7444, Fax: 214-880-0082
Websites
Chief Compliance Officer
NICK ROOSSIEN
CHIEF FINANCIAL OFFICER
200 CRESCENT COURT
SUITE 1450
DALLAS
TX
United States
Tel:
214-880-7444
Fax:
214-880-0082
N***@**************M
(Full email address available in API data)
Regulatory Contact
BLAIR BAKER
PORTFOLIO MANAGER
200 CRESCENT COURT
SUITE 1450
DALLAS
TX
United States
Tel:
214-880-7444
Fax:
214-880-0082
B****@**************M
(Full email address available in API data)
Industry Affiliates
| PRECEPT CAPITAL MANAGEMENT, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRECEPT MANAGEMENT, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| 9823 FUND, LP | Hedge Fund | $138.5M | $0.5M | 17 |
| PRECEPT MANAGEMENT PARTNERS, LP | Hedge Fund | $11.2M | $0.5M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BAKER, DANA, BLAIR | Individual | – | LIMITED PARTNER AND CHIEF EXECUTIVE OFFICER | 05/2007 | > 75% |
| 9823 MANAGEMENT, LLC | Domestic Entity | – | GENERAL PARTNER | 05/2007 | < 5% |
| BAKER, DANA, BLAIR | Individual | 9823 MANAGEMENT, LLC | SOLE MEMBER | 05/2007 | > 75% |
| ROOSSIEN, NICK, ROBERT | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2022 | < 5% |