Asset manager · Houston, TX
Lavaca Capital, LLC
SEC-registered investment adviser · CRD 167238 · SEC 801-113042
At a glance
Lavaca Capital, LLC is an SEC-registered investment adviser based in Houston, Texas, with $927 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is other investment advisers, and it reports 20 individual clients. By Form ADV it is a asset manager, ranked 1,395th of 3,218 asset managers and 5,610th of 17,210 SEC-registered advisers by assets.
Main office 713-904-4027lavacacapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $927M
- Rank among asset managers
- #1,395 of 3,218
- Rank among all SEC RIAs
- #5,610 of 17,210
- Rank in Texas
- #332 of 1,081
- Individual clients
- 20
- High-net-worth clients
- 20
- Accounts
- 33
- Discretionary
- 100% of AUM
- Employees
- 4
- Advisory staff
- 4
- Offices
- 1
Owners and executives on its Form ADV
- Scott L. PhillipsManaging Member/cco
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Other investment advisers | 8 | $431M | 47% |
| High-net-worth individuals | 20 | $385M | 42% |
| Pooled investment vehicles | 4 | $77M | 8% |
| Investment companies | 1 | $33M | 4% |
Private funds
Lavaca Capital, LLC reports 2 private funds with $76M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Lavaca Capital, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗lavacacapital.com ↗
AtlasMembers
The full record on Lavaca Capital, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 8 years of filings
- Locked
- Growth over one, three and five years
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- Rank against 1,006 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Lavaca Capital, LLC manage?
Lavaca Capital, LLC reports $927 million in regulatory assets under management across 33 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Lavaca Capital, LLC?
Lavaca Capital, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Lavaca Capital, LLC’s clients?
By assets, its largest client types are other investment advisers ($431 million, 8 clients); high-net-worth individuals ($385 million, 20 clients); pooled investment vehicles ($77 million, 4 clients).
Does Lavaca Capital, LLC manage private funds?
Yes. It reports 2 private funds with $76 million in gross assets, including hedge funds.
Does Lavaca Capital, LLC have any disciplinary history?
Lavaca Capital, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Lavaca Capital, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →