Lavaca Capital, Llc
- Regulatory AUM
- $927M
- Discretionary
- $927M
- Clients
- 33
- Avg AUM / client
- $28.1M
- Accounts
- 33
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 20 | $385M | 41.5% |
| Investment companies | 1 | $33.4M | 3.6% |
| Pooled investment vehicles (non-investment companies) | 4 | $77.3M | 8.34% |
| Charitable organizations | Fewer than 5 clients | — | — |
| Other investment advisers | 8 | $431M | 46.5% |
Private funds (4)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $92.8M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Lavaca Capital Convexity Fund, Lp master | Hedge Fund | Delaware | $62.7M | 62 |
| Lavaca Capital Partners I, Lp | Hedge Fund | Delaware | $12.9M | 14 |
| Lavaca Capital Convexity Fund Ii, Lp | Hedge Fund | Delaware | $8.8M | 34 |
| Lavaca Capital Convexity Fund Iii, Lp | Hedge Fund | Delaware | $8.4M | 15 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Scott Latorre Phillips | Managing Member/Cco | Jan 2013 (14y) | 75% or more | |
| Patrick Smith | Registered representative | Feb 2018 (8y) | ||
| Jacob Patrick Johnson | Registered representative | Jun 2018 (8y) | ||
| Ryan Mason | Registered representative | May 2021 (5y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (4, $92.8M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Lavaca Capital Convexity Fund, Lp | Hedge Fund | $62.7M | $1.0M | 62 |
| Lavaca Capital Partners I, Lp | Hedge Fund | $12.9M | $1.0M | 14 |
| Lavaca Capital Convexity Fund Ii, Lp | Hedge Fund | $8.8M | $1.0M | 34 |
| Lavaca Capital Convexity Fund Iii, Lp | Hedge Fund | $8.4M | $1.0M | 15 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.47 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- J.P. Morgan $358M (39% of AUM) Mar 2026
- Charles Schwab & Co. $265M (29% of AUM) Mar 2026
- Fidelity Brokerage Services $158M (17% of AUM) Mar 2026
- E*TRADE (Morgan Stanley) $24.8M (6% of AUM) Aug 2023
- Interactive Brokers $19.1M (6% of AUM) Mar 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗