Energy Opportunities Capital Management, LLC (Austin)

Name: Energy Opportunities Capital Management, LLC
Address: 108 Wild Basin Road, Austin, TX, 78746
Telephone: 512-477-0900

Energy Opportunities Capital Management, LLC is a mid-sized advisory firm based in Austin. It manages $60.69 million of regulatory assets for 21 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Louisiana, Michigan, and Texas.

Energy Opportunities Capital Management provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Energy Opportunities Capital Management: assets under management

The assets under management (AUM) of Energy Opportunities Capital Management, LLC is $60.69 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -44% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $60.69 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.89 million each.

Investments

The firm invests in exchange traded securities the most. They account for 99% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 1% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Energy Opportunities Capital Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Energy Opportunities Capital Management serves?

The firm provides services to individuals, high net worth individuals, and state or municipal government entities. The largest group of clients of Energy Opportunities Capital Management is state or municipal government entities with 5 clients and $46.81 million of assets under management. Among the 1 most similar advisory firms, Energy Opportunities Capital Management has the highest percentage of state or municipal government entities out of all clients.

The amount of regulatory assets under management is $50.97 million for 15 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Energy Opportunities Capital Management doesn't advise any private funds.

Careers at Energy Opportunities Capital Management, LLC

The company employs 6 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives 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
Simmons & Company International	Owner / member	1 Jul 2008	50% - 75%	23974
Orleans Capital Management Corp	Owner/member	1 Jul 2008	50% - 75%	111359
Jr. Louis Farrell Crane	Managing director / president	1 Jul 2008	Other	5065736
Scott Bayley Gill	Managing director / vice president	1 Jul 2008	Other	2862106
William Howard Wolf	Board member	1 Jul 2008	Other	1921325
Sandra Lynn Lai	Chief compliance officer	1 Mar 2014	Other	6318217
Michael Evans Frazier	Direct owner/ board member	1 Feb 2016	Other	213341
John Mcmahon Crain	Direct owner	1 Feb 2016	Other	6627717
Emily Crane Becker	Board member	1 Aug 2017	Other	2440584

Indirect Owners

The SEC currently registers 9 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Louis Farrell Crane	President & chairman	1 Jul 1991	25% - 50%	1571248
Rodney John Abele	Vice president & director	1 Nov 1991	25% - 50%	1459569
John Hurter Gordon	Vice president	1 Feb 1994	25% - 50%	1944485
Frederick William Charlton	Managing director	1 Mar 1998	Other	2138543
Nicholas Lew Swyka	Vice chairman	1 Sep 1999	Other	1921309
Matthew Roy Simmons	Chairman	1 Sep 2002	25% - 50%	1921297
Michael Evans Frazier	President, chairman and ceo	1 Jul 2009	Other	213341
Judith F. Crane (The Estate Of Louis Farrell Crane)	Direct owner, common	1 Aug 2017	25% - 50%	xxx-xx-xxxx
The Estate Of Louis Farrell Crane	Direct owner, common	1 Aug 2017	25% - 50%	xxx-xx-xxxx

Based in Austin

The principal office where Energy Opportunities Capital Management, LLC performs its advisory services is located at 108 Wild Basin Road, Austin, TX 78746, 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 512-477-0900. The normal business hours are 8:00 am - 4:30 pm on Monday - Friday. You can find more information about the New York firm at energyocm.com.