SourcingSourcing

9823 CAPITAL, LP

B58
CRD 324329·SEC 801-127155·DALLAS, TX
AUM
$677.1M
$500M-$1B
Est. Revenue
$6.8M
@ 1% on AUM
Est. EBITDA
$2.0M
@ 30% margin
Est. Deal Value
$16.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
9823 CAPITAL, LP
CRD
324329
SEC file #
801-127155
EIN
—
DBA names
—

Economics

AUM
$677.1M
AUM band
$500M-$1B
AUM trajectory
'25'26
$647.5M → $677.1M▲ +5%
Client mix
Individuals High Net Worth13
Pooled Investment Vehicles5

Operations

Employees (total)
6
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'25'26
4 advisors → 4 advisors▬ 0%
Primary office
DALLAS TX
Branches
—

Custodian & Brokerage

Primary custodian
Goldman Sachslow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
9823.capital

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
62.5
Top Owner Entity Kind
I
Owner Count
5
Control Persons
BAKER, DANA, BLAIR
ROOSSIEN, NICK, ROBERT
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
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
9823.capital
Rdap Domain Creation Date
2023-04-13T20:55:12.639Z
Rdap Firm Age Years
3
Rdap Firm Age Band
<5y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

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
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Goldman Sachs14
Charles Schwab13
Interactive Brokers8
E*trade4
Folio Institutional2
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-04-13T20:55:12.639Z
Rdap Domain Last Changed
2026-04-14T18:46:49.688Z
Rdap Nameservers
Ns73.domaincontrol.comNs74.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 (4)

4
BAKER, DANA, BLAIR
IAR · Direct Owner · 62.5%
1468835
ROOSSIEN, NICK, ROBERT
IAR · Direct Owner · 17.5%
5245707
Reich, Brian, Lee
Direct Owner · 17.5%
7241945
McKinney, Edward, Marshall
IAR · Direct Owner · 7.5%
7665250