HICKS CAPITAL MANAGEMENT LLC

Registered adviser

CIK

2062978

Location

COLUMBUS, OH

Portfolio Value

Small $118,693,737

Diversification

Highly concentrated

Filing Date

Global Rank

#7,915 / 8,811 ▲ 528 · as of Jun 2026

Top Industry

Banks - Diversified 75.3%

3Y Alpha vs SPY

-8.8%

Period ended 21 days ago

Filed Oct 20, 2026 · 1d

7 quarters · since Mar 2025

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 158609

Roster of Oct 1, 2026

Regulatory AUM

$344,741,000

Main clients

Individuals and high net worth (100% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$344,741,000	Individuals and high net worth (100%)
Apr 2025 to Mar 2026	$297,132,000	Individuals and high net worth (100%)
Apr 2024 to Mar 2025	$192,666,429	Individuals and high net worth (100%)
May 2023 to Mar 2024	$144,167,930	Individuals and high net worth (100%)
Apr 2023	$144,167,930	Individuals and high net worth (100%)
Apr 2022 to Mar 2023	$160,182,174	Individuals and high net worth (100%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Concentrated

The top 10 positions are 94.0% of the book (60%+)

Turnover

Low turnover

21.1% over the last four quarters (under 30%)

Horizon

Short horizon

Value-weighted holding period 3.9 quarters (under 4)

Closest benchmark: every 13F filer's combined book, active share 95.3%; sector active share 85.2% against the combined 13F book's sector weights.

Over time 6 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

38 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

46.4%

+0.6 pts

Top 5

84.5%

+0.5 pts

Top 10

94.4%

+0.4 pts

HHI

2,673

Highly concentrated+48

Portfolio Trend

7 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	94.5%	$112,193,997	34
Financial Services	5.5%	$6,499,740	4

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

No qualifying positions this quarter.

Trimmed

Positions the filer reduced

No qualifying positions this quarter.

New Positions

Positions the filer opened this quarter

No qualifying positions this quarter.

Sold Out

Positions the filer fully exited

No qualifying positions this quarter.

Portfolio Positions

Compact Export CSV View 13F filing

38 tracked positions · $118,693,737 total · filing declares 39 positions · $121,969,841 · as of Sep 30, 2026

All sectors Financial Services

Ticker	Company	Type	Shares	Value (USD)	% Δ Value	% of Portfolio
IVV	iShares Core S&P 500 ETF	Held	44,445	$34,038,203	+2.3%	28.68%
FBND	Fidelity Total Bond ETF	Held	265,775	$11,508,057	−4.8%	9.70%
FENI	Fidelity Enhanced International ETF	Held	268,093	$10,699,591	−0.5%	9.01%
IJH	iShares Core S&P Mid-Cap ETF	Held	95,978	$6,905,617	−6.7%	5.82%
VUG	VANGUARD GROWTH INDEX FUND	Held	56,564	$5,096,982	+4.6%	4.29%
JPM	Jpmorgan Chase & Co Financial Services	Held	14,802	$4,896,945	+1.1%	4.13%
IJR	iShares Core S&P Small-Cap ETF	Held	24,981	$3,398,415	−8.3%	2.86%
FFLG	Fidelity Fundamental Large Cap Growth ETF	Held	88,301	$3,007,090	−1.8%	2.53%
VYM	VANGUARD HIGH DIVIDEND YIELD INDEX FUND	Held	18,897	$2,932,814	−1.8%	2.47%
IVW	iShares S&P 500 Growth ETF	Held	20,244	$2,879,911	+3.4%	2.43%
FESM	Fidelity Enhanced Small Cap Core ETF	Held	60,222	$2,706,978	−6.9%	2.28%
VIG	Vanguard Specialized Funds	Held	11,179	$2,608,172	−1.4%	2.20%
FBCG	Fidelity Covington Trust	Held	40,495	$2,559,688	+1.8%	2.16%
FMUB	Fidelity Municipal Bond Opportunities ETF	Held	49,866	$2,405,196	−6.2%	2.03%
USMV	iShares MSCI USA Min Vol Factor ETF	Held	23,588	$2,298,414	+1.0%	1.94%
AVEM	Avantis Emerging Markets Equity ETF	Held	23,347	$2,195,084	−2.6%	1.85%
DVY	iShares Select Dividend ETF	Held	12,710	$1,932,809	−2.7%	1.63%
IWF	iShares Russell 1000 Growth ETF	Held	15,256	$1,910,966	+0.9%	1.61%
IEFA	iShares Core MSCI EAFE ETF	Held	17,608	$1,705,863	+0.3%	1.44%
FSMD	Fidelity Small-Mid Multifactor ETF	Held	29,341	$1,442,696	−7.0%	1.22%
HELO	JPMorgan Hedged Equity Laddered Overlay ETF	Held	14,592	$1,009,328	+2.4%	0.85%
FLMI	Franklin Dynamic Municipal Bond ETF	Held	43,031	$1,003,482	−7.4%	0.85%
VGLT	VANGUARD LONG-TERM TREASURY INDEX FUND	Held	19,231	$964,242	−9.1%	0.81%
COWZ	Pacer US Cash Cows 100 ETF	Held	13,704	$914,879	+7.3%	0.77%
FELG	Fidelity Enhanced Large Cap Growth ETF	Held	19,973	$900,582	+3.1%	0.76%
DFSU	Dimensional US Sustainability Core 1 ETF	Held	18,410	$868,399	+1.2%	0.73%
JBND	JPMorgan Active Bond ETF	Held	16,960	$866,995	−4.4%	0.73%
FITB	Fifth Third Bancorp Financial Services	Held	16,590	$839,122	−10.3%	0.71%
SPLV	Invesco S&P 500 Low Volatility ETF	Held	10,437	$735,912	−5.9%	0.62%
JMUB	JPMorgan Municipal ETF	Held	12,196	$580,285	−6.1%	0.49%
CGGR	Capital Group Growth ETF	Held	11,259	$534,014	+0.5%	0.45%
JPST	JPMorgan Ultra-Short Income ETF	Held	10,415	$524,603	−0.4%	0.44%
BUXX	Strive Enhanced Income Short Maturity ETF	Held	25,317	$510,390	−0.4%	0.43%
FMAO	Farmers & Merchants Bancorp Inc Financial Services	Held	14,513	$502,440	+13.2%	0.42%
PHYL	PGIM Active High Yield Bond ETF	Held	12,398	$414,465	−4.2%	0.35%
TBLD	Thornburg Income Builder Opportunities Trust Financial Services	Held	12,856	$261,233	−7.9%	0.22%
BIZD	VanEck BDC Income ETF	Held	10,386	$133,875	+1.8%	0.11%
		Held	13,550	$0	−100.0%	0.00%

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.