Investment adviser · CRD 167238

LAVACA CAPITAL, LLC

Investment adviser filing (IA)

HOUSTON, TX, United States · Form ADV filed Mar 31, 2026

Regulatory AUM: $927M
Client accounts: 33
Employees: 4
Advisory professionals: 4

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Other investment advisers	8	$431,224,707	46.5%
High-net-worth individuals	20	$385,154,984	41.5%
Pooled investment vehicles	4	$77,277,136	8.3%
Investment companies	1	$33,415,062	3.6%
Charities	Fewer than 5	Not reported	Not reported

Filing source

Form ADV 2071795 · Mar 31, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

4 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

LAVACA CAPITAL CONVEXITY FUND, LPHedge Fund · Last reported Mar 31, 2026$64.6MGross asset value

Form D fundraising filings

Lavaca Capital Convexity Fund, LP

Feeder funds

LAVACA CONVEXITY OFFSHORE FUND

Fund administrator WAYSTONE ADMINISTRATION SOLUTIONS (US) INC. FAIR LAWN, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP NEW YORK, New York, United States

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian JPMORGAN CHASE BANK NA NEWARK, Delaware, United States Related to adviser: No

Prime broker BTIG, LLC DALLAS, Texas, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

KPMG LLP
PCAOB 185

GOLDMAN SACHS & CO. LLC
SEC 8-129

JPMORGAN CHASE BANK NA
LEI 7H6GLXDRUGQFU57RNE97

BTIG, LLC
CRD 122225 · SEC 8-65473

Fund details & source

Fund ID: 805-4822192022
Reported beneficial owners: 35
Minimum commitment: $1M
Form D file number: 021-392013

Form ADV 2071795 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LAVACA CAPITAL CONVEXITY FUND III, LPHedge Fund · Last reported Mar 31, 2026$11.6MGross asset value

Form D fundraising filings

Lavaca Capital Convexity Fund II, LP

Fund administrator WAYSTONE ADMINISTRATION SOLUTIONS (US) INC. FAIR LAWN, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP NEW YORK, New York, United States

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian JPMORGAN CHASE BANK NA NEWARK, Delaware, United States Related to adviser: No

Prime broker BTIG, LLC DALLAS, Texas, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

KPMG LLP
PCAOB 185

GOLDMAN SACHS & CO. LLC
SEC 8-129

JPMORGAN CHASE BANK NA
LEI 7H6GLXDRUGQFU57RNE97

BTIG, LLC
CRD 122225 · SEC 8-65473

Fund details & source

Fund ID: 805-6746033350
Reported beneficial owners: 14
Minimum commitment: $1M
Form D file number: 021-418121

Form ADV 2071795 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LAVACA CAPITAL PARTNERS I, LPHedge Fund · Last reported Mar 28, 2024$12.9MGross asset value

Form D fundraising filings

Lavaca Capital Partners I, LP

Fund administrator CENTAUR FUND SERVICES US INC. FAIR LAWN, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP NEW YORK, New York, United States

Custodian FIRST REPUBLIC BANK SAN FRANCISCO, California, United States Related to adviser: No

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian JPMORGAN CHASE BANK NA NEWARK, Delaware, United States Related to adviser: No

Prime broker BTIG, LLC DALLAS, Texas, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

KPMG LLP
PCAOB 185

GOLDMAN SACHS & CO. LLC
SEC 8-129

JPMORGAN CHASE BANK NA
LEI 7H6GLXDRUGQFU57RNE97

BTIG, LLC
CRD 122225 · SEC 8-65473

Fund details & source

Fund ID: 805-9576414771
Reported beneficial owners: 14
Minimum commitment: $1M
Form D file number: 021-338470

Form ADV 1843468 · Mar 28, 2024 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LAVACA CAPITAL CONVEXITY FUND II, LPHedge Fund · Last reported Mar 27, 2025$5.1MGross asset value

Fund administrator WAYSTONE ADMINISTRATION SOLUTIONS (US) INC. FAIR LAWN, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP NEW YORK, New York, United States

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian JPMORGAN CHASE BANK NA NEWARK, Delaware, United States Related to adviser: No

Prime broker BTIG, LLC DALLAS, Texas, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

KPMG LLP
PCAOB 185

GOLDMAN SACHS & CO. LLC
SEC 8-129

JPMORGAN CHASE BANK NA
LEI 7H6GLXDRUGQFU57RNE97

BTIG, LLC
CRD 122225 · SEC 8-65473

Fund details & source

Fund ID: 805-4286121394
Reported beneficial owners: 15
Minimum commitment: $1M
Form D file number: 021-418121

Form ADV 1952842 · Mar 27, 2025 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 31, 2026. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

2700 POST OAK BLVD., SUITE 1250
HOUSTON, TX, 77056, United States

CRD 167238

Filing source

Form ADV 2071795 · Mar 31, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.