DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Preston Capital
Legal name Preston Capital LLC
Latest filing Jun 1, 2026
First filing on the tape Sep 19, 2023 · 9 filings
SEC status approved since Oct 19, 2023
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.1B as of Jun 1, 2026
Jan 9, 2025$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 1, 2026
Jan 9, 20250 then
Employees (5.A)18 as of Jun 1, 2026
Jan 9, 202519 then
Private funds2 as of Jun 1, 2026
Jan 9, 20251 then
RAUM -16% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 1, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $352MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Dogwood II LP | Private Equity Fund | $1.0B | 3 | Mar 29, 2024 |
| Preston Opportunistic Credit Fund I, LP | Hedge Fund | $0 | 1 | Sep 19, 2023 |
| Hoenir Capital, L.P. | Hedge Fund | $0 | 1 | Sep 19, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Christopher Jonathan Brooks · Managing Directorcontrolsince 08/2023 · owns less than 5%
- Michael Christopher Caputo · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
- Jonathan William Hogan · President / Cfocontrolsince 08/2023 · owns less than 5%
- James Jonathan Nelson · Ceo / Chief Invesment Officercontrolsince 08/2023 · owns less than 5%
- Franklin David Posnick · Chairmancontrolsince 08/2023 · owns less than 5%
- Christopher Jonathan Brooks · Beneficial Ownercontrolsince 08/2023 · owns F of Jb Family Trust
- Jonathan William Hogan · Beneficial Ownercontrolsince 08/2023 · owns F of Bb Family Trust
- James Jonathan Nelson · Beneficial Ownercontrolsince 08/2023 · owns F of Allen G Nelson Family Trust
- Franklin David Posnick · Membercontrolsince 08/2015 · owns F of Esh Properties LLC
Entity owners
- Allen G Nelson Family Trust · Ownerdirect · owns 50% to 75%
- Bb Family Trust · Ownerdirect · owns 25% to 50%
- Esh Properties LLC · Ownerdirect · owns 5% to 10%
- Jb Family Trust · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Market Garden Acquisition Gp (Cayman) Ltdpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Austin, TX2 employees
What changed
consecutive filings, newest first
- Organization form · Partnership to Limited Liability CompanyMar 31, 2026 to Jun 1, 2026
- Assets in custody · 0.0 to unsetDec 15, 2025 to Mar 31, 2026
- Custody of client assets · true to falseDec 15, 2025 to Mar 31, 2026
- Employees · 19 to 18Dec 15, 2025 to Mar 31, 2026
- Organization form · Limited Liability Company to PartnershipDec 15, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.1BDec 15, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.3B to $1.1BDec 15, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.1BDec 15, 2025 to Mar 31, 2026
- Related adviser · true to falseDec 15, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 30, 2025
- Related adviser · false to trueMar 28, 2025 to May 30, 2025
- Accounts · 2 to 3Jan 9, 2025 to Mar 28, 2025
- Pooled vehicle clients · 2 to 3Jan 9, 2025 to Mar 28, 2025
- Other offices · 1 to 0Jan 9, 2025 to Mar 28, 2025
- Private funds · 1 to 2Jan 9, 2025 to Mar 28, 2025
- Discretionary RAUM · $1.0B to $1.3BJan 9, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $1.0B to $1.3BJan 9, 2025 to Mar 28, 2025
- RAUM · $1.0B to $1.3BJan 9, 2025 to Mar 28, 2025
- Advisory employees · 4 to 9Oct 4, 2023 to Mar 29, 2024
- Assets in custody · unset to 0.0Oct 4, 2023 to Mar 29, 2024
- Custody of client assets · false to trueOct 4, 2023 to Mar 29, 2024
- Employees · 5 to 19Oct 4, 2023 to Mar 29, 2024
- Other offices · 0 to 1Oct 4, 2023 to Mar 29, 2024
- Private funds · 2 to 1Oct 4, 2023 to Mar 29, 2024
- Discretionary RAUM · $100 to $1.0BOct 4, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $100 to $1.0BOct 4, 2023 to Mar 29, 2024
- RAUM · $100 to $1.0BOct 4, 2023 to Mar 29, 2024
Signals
1 dated events
- Preston Capital filed its initial SEC registration (Form ADV)Sep 19, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Preston Capital · Independent Sponsorsshared crd · capital_provider
- Preston Capital · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/preston-capital-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- prestoncap.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 949-272-2000reportedpublic record, Form ADV, Jun 1, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026