9823 Capital, LP

RIASEC RegisteredEst. 2023
Total AUM
$677M
Discretionary
$677M
100% of AUM
Avg account
$35.6M
Accounts
19
Employees
6
Advisory reps
4

Firm details

Headquarters
Dallas, Texas
CRD number
324329
Registered since
January 6, 2023
Website
www.9823capital.com
Custodians
GOLDMAN SACHS & CO. LLC, GOLDMAN SACHS CUSTODY SOLUTIONS, CHARLES SCHWAB & CO., INC., INTERACTIVE BROKERS LLC
Fee structure
Percentage of AUM, Performance Based Fees
Client types
  • Pooled Investment Vehicles98.72%
  • HNWI1.19%
  • Corporations / Businesses0.08%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

9823 Capital, LP is an independent registered investment adviser structured as a limited partnership and registered with the SEC in 2023. The firm serves both high-net-worth individuals and institutional clients, providing financial planning and discretionary portfolio management across individual, pooled and institutional mandates. It operates as a commodity pool operator/commodity trading advisor (CPO/CTA) and also sponsors and manages pooled investment vehicles, which aligns with its use of performance-based fee arrangements alongside standard percentage-of-AUM fees. The firm is not positioned as an ESG-focused allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 72%, Private Funds 11%, Public Funds/Mutual Funds 7%, Cash & Cash Equivalents 5%72%
  • Exchange Traded Equities72%
  • Private Funds11%
  • Public Funds/Mutual Funds7%
  • Cash & Cash Equivalents5%

Owners & executives

2 of 2

  • Nick Roossien

    Chief Compliance OfficerCRD 5245707

  • Dana Baker

    Dana Baker

    Chief Investment OfficerCRD 1468835

Contacts

2 of 2

  • Edward McKinney

    ManagerCRD 7665250

  • Brian Reich

    Limited PartnerCRD 7241945

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 12

Active vs passive

$35.6M in ETFs

Passive

39%

$13.8M

Active

61%

$21.7M

ETFProviderStyleCategoryValueShares% of portfolio
INVESCO QQQ TRUST SERIES 1 (QQQ)InvescoPassiveLarge Growth$8.8M15,22624.71%
Unlock additional holdings →

Location

Primary office

Dallas, TX

Dallas

Location

Dallas, TX

Headquartered in Dallas, TX, anchoring the Dallas-Fort Worth, TX-OK metro in the South.

Metro area
Dallas-Fort Worth, TX-OK
Region
South
County
Dallas
Address
2323 Cedar Springs Rd
Time zone
CT (UTC-6)
Office locations

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