HICKS CAPITAL MANAGEMENT, LLC

RIASEC RegisteredEst. 2018
Total AUM
$345M
Discretionary
$341M
99% of AUM
Avg account
$338K
Accounts
1,020
Employees
5
Advisory reps
4

Firm details

Headquarters
COLUMBUS, Ohio
CRD number
158609
Registered since
July 20, 2018
Custodians
NATIONAL FINANCIAL SERVICES LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI73.33%
  • Individuals26.67%
Services
Financial PlanningPortfolio Management for IndividualsPension Consulting

Firm profile

FINTRX

Overview

Hicks Capital Management, LLC is an independent, SEC-registered RIA focused on serving individual and family clients. The firm operates as a limited liability company, founded prior to 2018 and registered with the SEC in 2018. Its client-facing services combine financial planning, discretionary portfolio management for individuals and small businesses, and pension consulting. In addition to advisory work, Hicks Capital engages in broker-dealer registration activities and acts as an insurance broker. Fee arrangements are mixed: percentage-of-AUM billing is used alongside hourly and fixed-fee engagements. The firm identifies as an active ESG investor, and its ownership is held by an individual principal. Hicks Capital does not position itself as a capital allocator or as a multi-state adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 67%, Cash & Cash Equivalents 11%, Exchange Traded Equities 10%, Investment Grade Corp Bonds 5%, US Government Bonds 4%, State & Local Bonds 1%, Non-Investment Grade Corp Bonds 1%, Derivatives 1%67%
  • Public Funds/Mutual Funds67%
  • Cash & Cash Equivalents11%
  • Exchange Traded Equities10%
  • Investment Grade Corp Bonds5%
  • US Government Bonds4%

Owners & executives

1 of 1

  • LINDA CASH

    Chief Compliance OfficerCRD 2489120

Contacts

3 of 3

  • JASON MOORE

    Private Wealth AdvisorCRD 2589788

  • DAVID FIEST

    Technology Analyst, Investment and Portfolio AnalystCRD 4989913

  • TIMOTHY HICKS

    President, Private Wealth AdvisorCRD 4180057

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 34

Active vs passive

$94.7M in ETFs

Passive

53%

$50.5M

Active

39%

$44.2M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$29M44,37730.60%
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Location

Primary office

COLUMBUS, OH

FRANKLIN

Location

COLUMBUS, OH

Headquartered in COLUMBUS, OH, anchoring the Columbus-Marion-Zanesville, OH metro in the Midwest.

Metro area
Columbus-Marion-Zanesville, OH
Region
Midwest
County
FRANKLIN
Address
4200 Regent St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth