Awh Capital, L.P. (Dallas)


Awh Capital, L.P. is a large advisory firm based in Dallas. It manages $146.79 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdiction of Texas.

Awh Capital provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Awh Capital: assets under management

The assets under management (AUM) of Awh Capital, L.P. is $146.79 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -6% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $146.79 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $146.79 million each.
Awh Capital has custody of $146.79 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Awh Capital, L.P. for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Awh Capital serves?

The only and largest group of clients of Awh Capital is pooled investment vehicles with 1 clients and $146.79 million of assets under management. Among the 11 most similar advisory firms, Awh Capital has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $146.79 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Awh Capital also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $250,000 for each fund.

Careers at Awh Capital, L.P.

The company employs 4 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Austin Wiggins Hopper Limited partner 1 Aug 2002 75% - 100% 2578267
Llc Awh Investment Management General partner 1 Aug 2002 Other 122825
The Hopper Children's Trust Limited partner 1 Dec 2009 Other 45-6684821
Kathleen Moran Schutz Chief operating officer & chief compliance officer 1 Jun 2017 Other 5723932

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Michelle Elaine Hopper Trustee 1 Dec 2009 Other 6015688

Based in Dallas

The principal office where Awh Capital, L.P. performs its advisory services is located at 3899 Maple Avenue, Dallas, TX 75219, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 214-462-9100 or by fax 214-462-9105. The normal business hours are 8 am to 5 pm on Monday - Friday. You can find more information about the New York firm at awhcapital.com/.