Cavalier Investments, LLC (Alpharetta)
Cavalier Investments, LLC is a large advisory firm based in Alpharetta. It manages $293.71 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of California and Georgia.
Cavalier Investments provides portfolio management for investment companies 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.
Cavalier Investments: assets under management
The assets under management (AUM) of Cavalier Investments, LLC is $293.71 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 49% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
Investments
The firm invests in exchange traded securities the most. They account for 96% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 4% of the firm’s portfolio.Fees & Commissions
The advisory firm has a single stream of revenue. Clients pay Cavalier Investments, LLC for their services and products based on a percentage of assets under management. 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 Cavalier Investments serves?
The firm provides services to investment companies and other investment advisers. The largest group of clients of Cavalier Investments is investment companies with 6 clients and $283.13 million of assets under management. Among the 8 most similar advisory firms, Cavalier Investments has the highest percentage of investment companies out of all clients.
The amount of regulatory assets under management is $293.71 million for 7 clients. None of the firm’s clients are foreign persons or businesses.
Cavalier Investments doesn't advise any private funds.
Careers at Cavalier Investments, LLC
The company employs 7 people that are either part- or full-time employees. 43 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 receive compensation from other entities for client referrals.
Gary Scott Wetherington has served as the Chief Investment Officer since 1 Jul 2016. Jocelyn M Dalkin joined the executive team most recently as the Chief Compliance Officer.
Direct owners and executive officers
Indirect Owners
The SEC currently registers 1 indirect owner.Based in Alpharetta
The principal office where Cavalier Investments, LLC performs its advisory services is located at 12600 Deerfield Parkway, Alpharetta, GA 30004, which is also the mailing address of the firm. An additional office of the firm is in Carmel Valley, CA. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 888.721.4588. The normal business hours are 9-5 on Monday - Friday. You can find more information about the New York firm at cavalierinvestments.com.
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