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Limited Partner and Chief Compliance Officer · 9823 Capital, LP

Nick R. Roossien

CRD 5245707 · Named on Form ADV at 2 SEC-registered advisers

At a glance

9823 Capital, LP, an SEC-registered private fund adviser based in Dallas, TX with $677 million in regulatory assets, lists Nick R. Roossien on its Form ADV as Limited Partner and Chief Compliance Officer, a control person. The SEC filings also name Nick at 1 other registered adviser.

Firms and roles

  • 9823 Capital, LPLimited Partner and Chief Compliance OfficerPrivate fund adviser · Dallas, TX · $677M in regulatory assets
  • Precept Management, LLCChief Financial Officer and Chief Compliance Officer, Precept Management, LLCPrivate fund adviser · Dallas, TX · $5M in regulatory assets

AtlasMembers

Nick’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
2 firmsLocked
Control-person status
2 firmsLocked
When each role began
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Each firm’s assets and growth
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Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Nick’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.