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CRD 114671
DALLAS, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| DANA BLAIR BAKER | n/a | DALLAS, TX | 26 | 28 | 1 | no |
| NICK ROBERT ROOSSIEN | n/a | DALLAS, TX | 19 | 19 | n/a | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| PRECEPT CAPITAL MASTER FUND | Hedge Fund | $63.2M | Mar 28, 2016 | 54 | Mar 28, 2012 | dropped | n/a |
| THE PRECEPT INTERNATIONAL FUND, LTD. | Hedge Fund | $38.9M | Mar 28, 2022 | 1 | Mar 28, 2018 | dropped | 021-129311 |
| PRECEPT VENTURES 7, L.P. | Hedge Fund | $17.9M | Mar 28, 2022 | 66 | Mar 28, 2022 | dropped | 021-399682 |
| THE PRECEPT FUND, L.P. | Hedge Fund | $10.8M | Mar 26, 2024 | 2 | Mar 28, 2012 | reported | 021-117138 |
| THE PRECEPT FUND (QP), L.P. | Hedge Fund | $10.4M | Mar 28, 2016 | 13 | Mar 28, 2012 | dropped | 021-117150 |
| PRECEPT SPECIAL SITUATION FUND, L.P. | Hedge Fund | $3.8M | Mar 26, 2024 | 10 | Mar 28, 2022 | reported | 021-408987 |
| THE PRECEPT FUND, L.P. | Hedge Fund | $2.7M | Mar 28, 2016 | 41 | Mar 28, 2012 | dropped | 021-128902 |
| PRECEPT SPECIAL SITUATION FUND, L.P. | Hedge Fund | $1.9M | Mar 28, 2016 | 1 | Mar 28, 2012 | dropped | 021-139390 |
| THE PRECEPT INTERNATIONAL FUND, LTD. | Hedge Fund | $1.5M | Mar 25, 2015 | 1 | Mar 28, 2012 | dropped | 021-129311 |
| PRECEPT CREDIT OPPORTUNITIES FUND, L.P. | Hedge Fund | $1.1M | Mar 26, 2024 | 13 | Mar 25, 2015 | reported | 021-139390 |
| PRECEPT EAGLE FUND, L.P. | Hedge Fund | $19,775 | Mar 28, 2016 | 1 | Mar 28, 2012 | dropped | 021-128980 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BAKER, DANA, BLAIR | MANAGING MEMBER, PRECEPT MANAGEMENT, LLC | E | yes | 02/1998 | Mar 28, 2012 | Mar 26, 2024 |
| ROOSSIEN, NICK, ROBERT | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER, PRECEPT MANAGEMENT, LLC | Na | yes | 10/2006 | Mar 28, 2012 | Mar 26, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| 9823 CAPITAL, LP | n/a | Asset manager | $677M | N | yes | n/a |
| PRECEPT CAPITAL MANAGEMENT, L.P. | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 | $5.4M | $5.4M | 3 | 3 | 0 | 3 | n/a |
| 2024 | Mar 24, 2025 | $13.7M | $13.7M | 3 | 3 | 0 | 3 | n/a |
| 2023 | Mar 26, 2024 | $15.7M | $15.7M | 4 | 3 | 0 | 3 | $15.7M |
| 2022 | Mar 27, 2023 | $128M | $128M | 4 | 3 | 0 | 3 | $128M |
| 2021 | Mar 28, 2022 | $262M | $262M | 4 | 4 | 0 | 6 | $403M |
| 2020 | Mar 29, 2021 | $255M | $255M | 4 | 4 | 0 | 4 | $330M |
| 2019 | Mar 17, 2020 | $219M | $219M | 4 | 4 | 0 | 4 | $291M |
| 2018 | Mar 26, 2019 | $204M | $204M | 4 | 4 | 0 | 4 | $268M |
| 2017 | Mar 28, 2018 | $198M | $198M | 4 | 3 | 0 | 4 | $271M |
| 2016 | Mar 24, 2017 | $176M | $176M | 4 | 3 | n/a | 3 | $238M |
| 2015 | Mar 28, 2016 | $102M | $102M | 4 | 3 | n/a | 8 | $165M |
| 2014 | Mar 25, 2015 | $101M | $101M | 3 | 2 | n/a | 9 | $174M |
| 2013 | Mar 26, 2014 | $107M | $107M | 3 | 2 | n/a | 8 | $215M |
| 2012 | Mar 27, 2013 | $101M | $101M | 3 | 2 | n/a | 8 | $222M |
| 2011 | Mar 28, 2012 | $98.0M | $98.0M | n/a | n/a | n/a | 8 | $187M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $5.4M | $13.7M | -60.5% | $128M | -65.2% | 3 | 3 | 0 | 0 |