9AT: LAVACA CAPITAL, LLC

other names

LAVACA CAPITAL, LLC

Adviser Profile

As of Date	03/31/2026
Registration	SEC, Approved, 04/30/2018
Other registrations (1)	Texas, Terminated, 06/25/2018
ADV Location	HOUSTON, TX, United States
Contact Info	713 xxxxxxx
Websites

AUM^*	927,071,889 172%
of that, discretionary	927,071,889 172%
Private Fund GAV^*	76,277,136 1%
Avg Account Size	28,093,088 89%
% High Net Worth	57.14% 31%
SMA’s	Yes
Private Funds	4 1

Adviser Type

- Large advisory firm

Number of Employees 4

of those in investment advisory functions 4

Client Types

- High net worth individuals
- Investment companies
- Pooled investment vehicles
- Other investment advisers

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

SEC Fund Type	Count	GAV
Fund TypeHedge Fund	Count4	GAV$76,277,136

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser JB CAPITAL PARTNERS	Hedge Fund680.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV680.7m	AUM680.7m	#Funds1
Adviser AQUILO CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM257.6m	#Funds-
Adviser NORTH FOURTH ASSET MANAGEMENT, LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM436.4m	#Funds-
Adviser FORTIS CAPITAL MANAGEMENT LLC	Hedge Fund143.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV143.4m	AUM1.2b	#Funds4
Adviser OCO CAPITAL PARTNERS LP	Hedge Fund651.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV651.8m	AUM651.8m	#Funds4
Adviser THOMIST CAPITAL MANAGEMENT, LP	Hedge Fund661.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV661.2m	AUM736.2m	#Funds1
Adviser SILVERARC CAPITAL MANAGEMENT, LLC	Hedge Fund913.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund21.7m	Other Fund-	Total Private Fund GAV957.0m	AUM1.6b	#Funds4
Adviser HYPERION CAPITAL ADVISORS LP	Hedge Fund367.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV367.5m	AUM581.3m	#Funds11
Adviser ESCHLER ASSET MANAGEMENT LLP	Hedge Fund409.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV409.8m	AUM497.2m	#Funds21
Adviser BWCP, LP	Hedge Fund287.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV287.8m	AUM1.2b	#Funds3

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker21873S108	Stock NameCOREWEAVE INC	$ Position$179,025,000	% Position29.00%	$ Change-35.00%	# Change25.00%
Stck Ticker17243V102	Stock NameCINEMARK HLDGS INC	$ Position$133,045,189	% Position22.00%	$ Change	# Change
Stck Ticker78462F103	Stock NameSPDR S&P 500 ETF TR	$ Position$79,594,384	% Position13.00%	$ Change2.00%	# Change0.00%
Stck Ticker67066G104	Stock NameNVIDIA CORPORATION	$ Position$36,901,263	% Position6.00%	$ Change0.00%	# Change0.00%
Stck Ticker67066G104	Stock NameNVIDIA CORPORATION (PUT)	$ Position$14,229,950	% Position2.00%	$ Change	# Change
Stck Ticker871829107	Stock NameSYSCO CORP	$ Position$13,099,208	% Position2.00%	$ Change-23.00%	# Change-14.00%
Stck Ticker037833100	Stock NameAPPLE INC	$ Position$12,029,905	% Position2.00%	$ Change10.00%	# Change3.00%
Stck Ticker48251W104	Stock NameKKR & CO INC	$ Position$11,256,484	% Position2.00%	$ Change-2.00%	# Change0.00%
Stck Ticker30231G102	Stock NameEXXON MOBIL CORP	$ Position$6,703,838	% Position1.00%	$ Change10.00%	# Change3.00%
Stck Ticker46090E103	Stock NameINVESCO QQQ TR	$ Position$3,286,559	% Position1.00%	$ Change9.00%	# Change7.00%

Brochure Summary

Overview

A. Description of Advisor Firm Lavaca Capital, LLC ("Lavaca" or the "Advisor") is a registered investment adviser and is a Limited Liability Company organized in the state of Texas on January 22, 2013. Registration does not imply a certain level of skill or training. The principal owner and Chief Compliance Officer is Scott L Phillips. B. Advisory Services Offered The Advisor seeks to provide its Clients with positive investment returns utilizing a range of investment strategies, including investing in equity, fixed income and derivative investments. The Advisor offers advisory services to a variety of clients, across different formats. The Advisor primarily provides investment advisory and strategy management services to asset managers, registered investment advisors, family offices, pensions and endowments, and other fiduciaries (collectively “Advisors”) for use with their clients and constituents in several different capacities. The Advisor also offers advisory services directly to high-net-worth individuals, family offices, pension funds, endowments and other institutional investors through separately managed accounts (“SMAs”). The Advisor also serves as sub-advisor to certain investment companies organized under the Investment Company Act of 1940, as amended. C. Services Limited to Specific Types of Investments Advisor generally

limits its investment management services to mutual funds, equities, bonds, fixed income, options, debt securities, ETFs, REITs, and government securities, hedge funds and limited partnerships. Advisor may use other securities as well to help diversify a portfolio when applicable. D. Client Tailored Services and Client Imposed Restrictions Advisor offers the same suite of services to all its clients. However, specific Client goals and ability to achieve such goals are dependent upon the Client’s current situation (income, tax levels, and risk tolerance levels, etc.) and are used to construct a client specific investment strategy to aid in the selection of a portfolio that matches restrictions, needs, and targets. Separate Account Clients may impose restrictions on investing in certain securities or types of securities in accordance with their values or beliefs. However, if the restrictions prevent Advisor from properly servicing the client account, or if the restrictions would require Advisor to deviate from its standard suite of services, Advisor reserves the right to end the relationship. E. Wrap Fee Programs Advisor does not manage or participate in any wrap fee programs. F. Amounts Under Management As of December 31, 2023, total assets under management were $341,356,397. Clients may request more current information at any time by contacting the Advisor.

LAVACA CAPITAL, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

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Private Funds Structure

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