SourcingSourcing

CAVALIER INVESTMENTS, LLC

C42
CRD 281201·SEC 801-106545·ALPHARETTA, GA
AUM
$421.4M
$100M-$500M
Est. Revenue
$4.2M
@ 1% on AUM
Est. EBITDA
$1.3M
@ 30% margin
Est. Deal Value
$10.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CAVALIER INVESTMENTS, LLC
CRD
281201
SEC file #
801-106545
EIN
474698780
DBA names
Adaptive Investments

Economics

AUM
$421.4M
AUM band
$100M-$500M
AUM trajectory
'20'26
$293.7M → $421.4M▲ +43%
Client mix
Investment Companies4
Other3

Operations

Employees (total)
7
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
3 advisors → 3 advisors▬ 0%
Primary office
ALPHARETTA GA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — investment companiesPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
adaptiveinv.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CAVALIER16, INC.
Top Owner Pct
62.5
Top Owner Entity Kind
DE
Owner Count
5
Control Persons
CAVALIER16, INC.
Brookhouser, Maria, S
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
ADAPTIVEINV.COM
Rdap Domain Creation Date
2020-08-14T20:03:57Z
Rdap Firm Age Years
6
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001655543
Edgar Registered
Yes
Edgar Filing Count
43
Edgar First Filing Date
2015-11-16
Edgar Last Filing Date
2026-05-15
Edgar 13f Count
43
Edgar 13f Latest AUM Estimate
Filing Date2026-05-15
Accession0001655543-26-000003
Edgar Former Names
Cavalier Investments

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
12600 DEERFIELD PARKWAYSUITE #100ALPHARETTA, GA 30004
Business
12600 DEERFIELD PARKWAYSUITE #100ALPHARETTA, GA 30004
Edgar EIN
474698780
Edgar Recent Filings
13F-HR2026-05-15 · 0001655543-26-000003
13F-HR2026-02-13 · 0001655543-26-000001
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-08-14T20:03:57Z
Rdap Domain Last Changed
2024-08-15T16:33:13Z
Rdap Nameservers
Pdns05.domaincontrol.comPdns06.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
No

People (4)

4
Brookhouser, Maria, S
Direct Owner · 17.5%
6702178
RUTHERFORD, GREGORY, ALLAN
Executive Officer · 2.5%
2459249
MACKENZIE, BRIAN, THOMAS
Executive Officer · 2.5%
5258949
WETHERINGTON, GARY, SCOTT
Executive Officer · 2.5%
2211231