SourcingSourcing

PRECEPT MANAGEMENT, LLC

C48
CRD 114671·SEC 801-66256·DALLAS, TX
AUM
$5.4M
<$25M
Est. Revenue
$54K
@ 1% on AUM
Est. EBITDA
$16K
@ 30% margin
Est. Deal Value
$130K
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PRECEPT MANAGEMENT, LLC
CRD
114671
SEC file #
801-66256
EIN
752828851
DBA names
—

Economics

AUM
$5.4M
AUM band
<$25M
AUM trajectory
'20'26
$203.5M → $5.4M▼ -97%
Client mix
Pooled Investment Vehicles3

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
4 advisors → 3 advisors▼ -25%
Primary office
DALLAS TX
Branches
—

Custodian & Brokerage

Primary custodian
Goldman Sachslow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
preceptfund.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BAKER, DANA, BLAIR
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
BAKER, DANA, BLAIR
ROOSSIEN, NICK, ROBERT
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
PRECEPTFUND.COM
Rdap Domain Creation Date
1998-01-20T05:00:00Z
Rdap Firm Age Years
28
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001135631
Edgar Registered
Yes
Edgar Filing Count
39
Edgar First Filing Date
2001-02-28
Edgar Last Filing Date
2023-11-14
Edgar 13f Count
36
Edgar 13f Latest AUM Estimate
Filing Date2023-11-14
Accession0000950123-23-010547
Edgar Former Names
PRECEPT MANAGMENT LLC

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Goldman Sachs6
E*trade4
Interactive Brokers3
U.s. Bank2
Edgar Addresses
Mailing
200 CRESCENT COURTSUITE 1450DALLAS, TX 75201
Business
200 CRESCENT COURTSUITE 1450DALLAS, TX 75201
Edgar EIN
752828851
Edgar Recent Filings
13F-HR2023-11-14 · 0000950123-23-010547
13F-HR2023-08-14 · 0000950123-23-007789
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-01-19T05:00:00Z
Rdap Domain Last Changed
2025-07-08T19:59:26Z
Rdap Nameservers
Ns01.domaincontrol.comNs02.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
1468835
Trust Company Affiliate
Yes

People (2)

2
BAKER, DANA, BLAIR
IAR · Direct Owner · 87.5%
1468835
ROOSSIEN, NICK, ROBERT
IAR · Executive Officer · 2.5%
5245707