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.