9823 Capital, Lp
- Regulatory AUM
- $677M
- Discretionary
- $677M
- Clients
- 18
- Avg AUM / client
- $37.6M
- Accounts
- 19
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Jul 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 13 | $8.1M | 1.19% |
| Pooled investment vehicles (non-investment companies) | 5 | $668M | 98.7% |
| Corporations and other businesses | Fewer than 5 clients | $575K | 0.08% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $150M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| 9823 Fund, Lp | Hedge Fund | Texas | $139M | 17 |
| Precept Management Partners, Lp | Hedge Fund | Texas | $11.2M | 2 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Dana Blair Baker | Limited Partner And Chief Executive Officer | May 2007 (19y) | 75% or more | |
| Nick Robert Roossien | Chief Compliance Officer | Nov 2022 (4y) | Less than 5% | |
| Edward Marshall Mc Kinney | Registered representative | Nov 2023 (3y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| 9823 Management, Llc | General Partner | May 2007 | A | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (2, $150M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| 9823 Fund, Lp | Hedge Fund | $139M | $500K | 17 |
| Precept Management Partners, Lp | Hedge Fund | $11.2M | $500K | 2 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/01/2026 | 2.18 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Goldman Sachs $8.0M (1% of AUM) Jul 2026
- Folio Investments, Inc. $6.1M (1% of AUM) Jul 2026
- Charles Schwab & Co. $2.6M (0% of AUM) Jul 2026
- Interactive Brokers $3.0K (0% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 01, 2026.
View current Form ADV (SEC/IAPD) ↗