Dana B. Baker

PRECEPT MANAGEMENT

DALLAS, TX 75201

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CRD#: 1468835

Professional summary

Dana Blair Baker is a registered financial advisor currently at PRECEPT MANAGEMENT, LLC located in Dallas, Texas and 9823 CAPITAL, LP located in Dallas, Texas.

Dana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Dana has worked at 4 firms and has passed the Series 63 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dana Blair Baker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 20, 1999 - Present

PRECEPT MANAGEMENT, LLC

Office #1: 200 Crescent Court Suite 1450, Dallas, TX 75201

RIA

CRD#: 114671

DALLAS, TX

Current

January 6, 2023 - Present

9823 CAPITAL, LP

Office #1: 200 Crescent Court Suite 1450, Dallas, TX 75201

RIA

CRD#: 324329

DALLAS, TX

Past

November 7, 2005 - September 14, 2007

WHITE STAR CAPITAL, L.P.

RIA

CRD#: 136998

DALLAS, TX

Past

March 14, 1986 - July 23, 1987

STANFORD FINANCIAL RESOURCES, INC.

CRD#: 16272

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

9823 CAPITAL, LP

9823 CAPITAL, LP | WHITE STAR CAPITAL, LP

CRD#: 324329 / SEC#: 801-127155

RIA

Registered Investment Advisory firm - (1/6/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(10/20/1999)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/27/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 3/13/1986

Direct Participation Programs Representative Examination

Current Firm

9823 CAPITAL, LP

9823 CAPITAL, LP | WHITE STAR CAPITAL, LP

CRD#: 324329 / SEC#: 801-127155

RIA

Registered Investment Advisory firm - (1/6/2023 Approved)

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Contact information

Main Address

200 Crescent Court Suite 1450, Dallas, TX 75201

Mailing Address

Phone number

(214) 849-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

9823 CAPITAL, LP ADV PART 2A BROCHURE (9/3/2025)

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 647,511,765

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Dana B. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dana Blair Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRECEPT MANAGEMENT, LLC

9823 CAPITAL, LP

WHITE STAR CAPITAL, L.P.

STANFORD FINANCIAL RESOURCES, INC.

Primary Firm SEC Registration

9823 CAPITAL, LP

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/1999

Series 22

Date: 3/13/1986

Current Firm

9823 CAPITAL, LP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

9823 CAPITAL, LP

TRUST BUT VERIFY

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