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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

LAVACA CAPITAL, LLC

CRD 167238

HOUSTON, TX

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:cc6cc2f9-decc-3ef0-3e4f-b57222ec2840

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 4
On other graphs: 0
Observed: Mar 29, 2018 to Mar 31, 2026
20 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: mixed wealth managerderivedprivate_client_share=0.42 fund_share=0.58 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $927MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $927M
Private client RAUM: $385MderivedItem 5.D individuals plus high net worth individuals
Private client share: 42%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $232Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 33
High net worth clients: 20
Private funds: 2Schedule D 7.B(1)
SEC number: 801-113042
CIK: 1641447
CRD: 167238
Filings on the tape: 20
First filed: Mar 29, 2018
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, TX

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
SCOTT LATORRE PHILLIPS	n/a	HOUSTON, TX	12	13	n/a	no
PATRICK SMITH	n/a	HOUSTON, TX	8	16	2	no
Jacob Patrick Johnson	n/a	HOUSTON, TX	8	14	n/a	no
Ryan Mason	n/a	HOUSTON, TX	5	12	n/a	no

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
LAVACA CAPITAL CONVEXITY FUND, LP	Hedge Fund	$62.7M	Mar 28, 2024	62	Mar 30, 2022	reported	021-392013
LAVACA CAPITAL PARTNERS I, LP	Hedge Fund	$12.9M	Mar 28, 2024	14	Feb 6, 2019	reported	021-338470
LAVACA CAPITAL CONVEXITY FUND II, LP	Hedge Fund	$8.8M	Mar 28, 2024	34	Mar 30, 2022	reported	021-418121
LAVACA CAPITAL CONVEXITY FUND III, LP	Hedge Fund	$8.4M	Mar 28, 2024	15	Mar 30, 2023	reported	021-418121

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
PHILLIPS, SCOTT, LATORRE	MANAGING MEMBER/CCO	E	yes	01/2013	Mar 29, 2018	Mar 28, 2024

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
LAVACA CAPITAL PARTNERS GP, LP	n/a	n/a	n/a	N	yes	n/a
LAVACA CONVEXITY GP II, LLC	n/a	n/a	n/a	N	yes	n/a
LAVACA CONVEXITY GP III, LLC	n/a	n/a	n/a	N	yes	n/a
LAVACA CONVEXITY GP, LLC	n/a	n/a	n/a	N	yes	n/a
PALOMA PARTNERS, LLC	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Mar 31, 2026	$927M	$927M	4	4	2	n/a
2024	Mar 27, 2025	$421M	$421M	4	4	3	n/a
2023	Mar 28, 2024	$341M	$341M	4	4	4	$92.8M
2022	Mar 30, 2023	$434M	$434M	4	4	4	$208M
2021	Mar 30, 2022	$432M	$432M	4	4	3	$187M
2020	Mar 16, 2021	$300M	$300M	4	3	1	$13.2M
2019	Feb 24, 2020	$153M	$153M	3	3	1	$20.6M
2018	Feb 6, 2019	$108M	$108M	4	4	1	$0

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$927M	$421M	120.2%	$434M	28.8%	4	4	0	0

Relationships

Advises (4)

→ LAVACA CAPITAL PARTNERS I, LPPrivate fundHedge Fund, IA
Feb 6, 2019 to presentfactForm ADV
→ LAVACA CAPITAL CONVEXITY FUND II, LPPrivate fundHedge Fund, IA
Mar 30, 2022 to presentfactForm ADV
→ LAVACA CAPITAL CONVEXITY FUND, LPPrivate fundHedge Fund, IA
Mar 30, 2022 to presentfactForm ADV
→ LAVACA CAPITAL CONVEXITY FUND III, LPPrivate fundHedge Fund, IA
Mar 30, 2023 to presentfactForm ADV

Registered with (5)

← Ryan MasonAdvisorregistration: current employment
May 27, 2021 to presentfactForm ADV
← Jacob Patrick JohnsonAdvisorregistration: current employment
Jun 6, 2018 to presentfactForm ADV
← PATRICK SMITHAdvisorregistration: current employment
Feb 15, 2018 to presentfactForm ADV
← SCOTT LATORRE PHILLIPSAdvisorregistration: current employment
Mar 19, 2014 to presentfactForm ADV
← Riccardo SignorelliAdvisorregistration: previous registration
Jun 6, 2018 to Oct 29, 2018factForm ADV

Controls (1)

← PHILLIPS, SCOTT, LATORREOwnerMANAGING MEMBER/CCO, ownership code E, individual
Mar 29, 2018 to Mar 28, 2024factForm ADV

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
Lavaca Capital, Llc reported RAUM $927.1M, up 120% from $421.0M (2025-03-27 to 2026-03-31)
Form ADVobserved 4 days ago
$506M
Occurred
Mar 30, 2022
Regulatory AUM changed
Lavaca Capital, Llc reported RAUM $431.7M, up 44% from $299.6M (2021-06-04 to 2022-03-30)
Form ADVobserved 4 days ago
$132M
Occurred
Mar 16, 2021
Regulatory AUM changed
Lavaca Capital, Llc reported RAUM $299.6M, up 96% from $153.0M (2020-06-16 to 2021-03-16)
Form ADVobserved 4 days ago
$147M
Occurred
Mar 29, 2018
First Form ADV filing
Lavaca Capital, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc6cc2f9-decc-3ef0-3e4f-b57222ec2840
First observed: Mar 29, 2018
Last observed: Mar 31, 2026 5 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.

LAVACA CAPITAL, LLC

CRD 167238

HOUSTON, TX

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:cc6cc2f9-decc-3ef0-3e4f-b57222ec2840

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:36 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

SCOTT LATORRE PHILLIPS

n/a

HOUSTON, TX

n/a

PATRICK SMITH

n/a

HOUSTON, TX

Jacob Patrick Johnson

n/a

HOUSTON, TX

n/a

Ryan Mason

n/a

HOUSTON, TX

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

LAVACA CAPITAL CONVEXITY FUND, LP

Hedge Fund

$62.7M

Mar 28, 2024

Mar 30, 2022

reported

021-392013

LAVACA CAPITAL PARTNERS I, LP

Hedge Fund

$12.9M

Mar 28, 2024

Feb 6, 2019

reported

021-338470

LAVACA CAPITAL CONVEXITY FUND II, LP

Hedge Fund

$8.8M

Mar 28, 2024

Mar 30, 2022

reported

021-418121

LAVACA CAPITAL CONVEXITY FUND III, LP

Hedge Fund

$8.4M

Mar 28, 2024

Mar 30, 2023

reported

021-418121

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PHILLIPS, SCOTT, LATORRE

MANAGING MEMBER/CCO

yes

01/2013

Mar 29, 2018

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LAVACA CAPITAL PARTNERS GP, LP

n/a

yes

n/a

LAVACA CONVEXITY GP II, LLC

n/a

yes

n/a

LAVACA CONVEXITY GP III, LLC

n/a

yes

n/a

LAVACA CONVEXITY GP, LLC

n/a

yes

n/a

PALOMA PARTNERS, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$927M

n/a

2024

Mar 27, 2025

$421M

n/a

2023

Mar 28, 2024

$341M

$92.8M

2022

Mar 30, 2023

$434M

$208M

2021

Mar 30, 2022

$432M

$187M

2020

Mar 16, 2021

$300M

$13.2M

2019

Feb 24, 2020

$153M

$20.6M

2018

Feb 6, 2019

$108M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

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

$927M

$421M

120.2%

$434M

28.8%