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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

AUSTIN CAPITAL MANAGEMENT LTD

CRD 108624

CLEVELAND, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8a357a4a-ce65-b07d-c3e4-91eb13e42e11

Data as of Feb 24, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Feb 24, 2012 to Feb 24, 2012
1 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $103MItem 5.F on the latest filing (2012-02-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $103M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Advisory employees: 0
Accounts: 7
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $41.5Mgross asset value as reported per fund; never fund size
Custody, client assets: $103M
SEC number: 801-54988
CRD: 108624
Filings on the tape: 1
First filed: Feb 24, 2012
Latest filed: Feb 24, 2012
Organised: Limited Partnership, Texas

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
AUSTIN CAPITAL SAFE HARBOR OFFSHORE FUND, LTD.	Hedge Fund	$41.5M	Feb 24, 2012	67	Feb 24, 2012	reported	021-126013

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AUSTIN CAPITAL MANAGEMENT GP CORP.	SOLE GENERAL PARTNER OF AUSTIN CAPITAL MANAGEMENT, LTD.	F	yes	01/1993	Feb 24, 2012	Feb 24, 2012
AUSTIN CAPITAL MANAGEMENT GP CORP.	SOLE GENERAL PARTNER OF AUSTIN CAPITAL MANAGEMENT, LTD.	Na	yes	01/1993	Feb 24, 2012	Feb 24, 2012
BROWN, DAVID, CRAIG	AUSTIN CAPITAL MANAGEMENT GP CORP. BOARD OF DIRECTORS MEMBER	Na	yes	04/2006	Feb 24, 2012	Feb 24, 2012
Keycorp	SOLE LIMITED PARTNER OF AUSTIN CAPITAL MANAGEMENT, LTD. AND SOLE SHAREHOLDER OF AUSTIN CAPITAL MANAGEMENT GP CORP.	E	yes	04/2006	Feb 24, 2012	Feb 24, 2012
Keycorp	SOLE LIMITED PARTNER OF AUSTIN CAPITAL MANAGEMENT, LTD.; SOLE SHAREHOLDER OF AUSTIN CAPITAL MANAGEMENT GP CORP.	E	yes	04/2006	Feb 24, 2012	Feb 24, 2012
BURKE, JOHN, THOMAS	CHIEF FINANCIAL OFFICER	Na	no	08/2010	Feb 24, 2012	Feb 24, 2012
FOX, KENNETH, FLOYD	CHIEF COMPLIANCE OFFICER	Na	no	08/2009	Feb 24, 2012	Feb 24, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
VICTORY CAPITAL MANAGEMENT INC.	n/a	Asset manager	$283B	N	yes	n/a
KEY INVESTMENT SERVICES LLC	n/a	Bd affiliated wealth	$8.9B	N	yes	n/a
KEYBANC CAPITAL MARKETS INC.	n/a	n/a	n/a	N	yes	n/a
VICTORY CAPITAL ADVISERS, INC.	n/a	n/a	n/a	N	yes	n/a

Relationships

Affiliated with (2)

→ VICTORY CAPITAL MANAGEMENT INC.Registered adviserother investment adviser, common control
factForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Advises (1)

→ AUSTIN CAPITAL SAFE HARBOR OFFSHORE FUND, LTD.Private fundHedge Fund, IA
Feb 24, 2012 to presentfactForm ADV

Owns (2)

← FOX, KENNETH, FLOYDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV
← BURKE, JOHN, THOMASOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV

Controls (3)

← BROWN, DAVID, CRAIGOwnerAUSTIN CAPITAL MANAGEMENT GP CORP. BOARD OF DIRECTORS MEMBER, ownership code NA, individual
Feb 24, 2012 to presentfactForm ADV
← AUSTIN CAPITAL MANAGEMENT GP CORP.OwnerSOLE GENERAL PARTNER OF AUSTIN CAPITAL MANAGEMENT, LTD., ownership code F, domestic entity
Feb 24, 2012 to presentfactForm ADV
← KEYCORPOwnerSOLE LIMITED PARTNER OF AUSTIN CAPITAL MANAGEMENT, LTD.; SOLE SHAREHOLDER OF AUSTIN CAPITAL MANAGEMENT GP CORP., ownership code E, domestic entity
Feb 24, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8a357a4a-ce65-b07d-c3e4-91eb13e42e11
First observed: Feb 24, 2012
Last observed: Feb 24, 2012 177 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

AUSTIN CAPITAL MANAGEMENT LTD

CRD 108624

CLEVELAND, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8a357a4a-ce65-b07d-c3e4-91eb13e42e11

Data as of Feb 24, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:55 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

AUSTIN CAPITAL SAFE HARBOR OFFSHORE FUND, LTD.

Hedge Fund

$41.5M

Feb 24, 2012

reported

021-126013

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AUSTIN CAPITAL MANAGEMENT GP CORP.

SOLE GENERAL PARTNER OF AUSTIN CAPITAL MANAGEMENT, LTD.

yes

01/1993

Feb 24, 2012

AUSTIN CAPITAL MANAGEMENT GP CORP.

SOLE GENERAL PARTNER OF AUSTIN CAPITAL MANAGEMENT, LTD.

yes

01/1993

Feb 24, 2012

BROWN, DAVID, CRAIG

AUSTIN CAPITAL MANAGEMENT GP CORP. BOARD OF DIRECTORS MEMBER

yes

04/2006

Feb 24, 2012

Keycorp

SOLE LIMITED PARTNER OF AUSTIN CAPITAL MANAGEMENT, LTD. AND SOLE SHAREHOLDER OF AUSTIN CAPITAL MANAGEMENT GP CORP.

yes

04/2006

Feb 24, 2012

Keycorp

SOLE LIMITED PARTNER OF AUSTIN CAPITAL MANAGEMENT, LTD.; SOLE SHAREHOLDER OF AUSTIN CAPITAL MANAGEMENT GP CORP.

yes

04/2006

Feb 24, 2012

BURKE, JOHN, THOMAS

CHIEF FINANCIAL OFFICER

08/2010

Feb 24, 2012

FOX, KENNETH, FLOYD

CHIEF COMPLIANCE OFFICER

08/2009

Feb 24, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VICTORY CAPITAL MANAGEMENT INC.

n/a

Asset manager

$283B

yes

n/a

KEY INVESTMENT SERVICES LLC

n/a

Bd affiliated wealth

$8.9B

yes

n/a

KEYBANC CAPITAL MARKETS INC.

n/a

yes

n/a

VICTORY CAPITAL ADVISERS, INC.

n/a

yes

n/a