Hedge Fund Database

ADAPTIVE INVESTMENTS

CAVALIER INVESTMENTS, LLC Legal Name

Adviser information for ADAPTIVE INVESTMENTS last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Georgia, United States

Employees

Total Number of Employees 7
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 1
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 4 $286.8M
Non-Discretionary 3 $3.3M
Total 7 $290.1M

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 4 $286.8M
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other <5 $3.3M
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0

Services

Advisory Services Portfolio management for investment companiesPortfolio management for businesses or institutional clients
Compensation % of AUM

Identifiers

SEC RIA File Number 801-106545
SEC ERA File Number 801-106545
SEC CIK Numbers 1655543
SEC CRD Numbers 281201
Legal Entity Identifier None

Principal Office

12600 DEERFIELD PARKWAY
SUITE 100
ALPHARETTA
GA
United States
Monday - Friday, 9-5
Tel: 888.721.4588, Fax: None

Websites

www.adaptiveinv.com

Chief Compliance Officer

JEFFREY A. SMITH
CHIEF COMPLIANCE OFFICER
295 PALAMAS INN WAY
104-399
HUMACO
PR
United States
Tel: 1-248-376-1480
(Full email address available in API data)

Regulatory Contact

GREG RUTHERFORD
PRESIDENT
12600 DEERFIELD PARKWAY
SUITE 100
ALPHARETTA
GA
United States
Tel: 888.721.4588
(Full email address available in API data)

Industry Affiliates

ELITE PORTFOLIOS Other investment adviser, including financial planners
THEPARTNERS WEALTH MANAGEMENT Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
RUTHERFORD, GREGORY, ALLAN Individual – PRESIDENT AND CEO 08/2015 < 5%
RUTHERFORD, GREGORY, ALLAN Individual CAVALIER16, INC. OWNER 08/2016 > 75%
CAVALIER16, INC. Domestic Entity – DIRECT OWNER 08/2016 50-75%
WETHERINGTON, GARY, SCOTT Individual – CHIEF INVESTMENT OFFICER 07/2016 < 5%
Brookhouser, Maria, S Individual – DIRECT OWNER 08/2016 10-25%
SMITH, JEFFREY, ANDREW Individual – CHIEF COMPLIANCE OFFICER 07/2023 < 5%

No. Employees, Historic

105020192020202120222023202420253 on 6/14/20197 on 9/27/20197 on 1/2/20207 on 9/23/20207 on 10/1/20207 on 3/27/20217 on 3/30/20227 on 9/9/20227 on 3/1/20237 on 3/2/20237 on 7/18/20237 on 3/27/2024

RAUM, Historic

500M250M02019202020212022202320242025375626731 on 6/14/2019293714956 on 9/27/2019293714956 on 1/2/2020220386661 on 9/23/2020220386661 on 10/1/2020246931298 on 3/27/2021480626666 on 3/30/2022480626666 on 9/9/2022321103739 on 3/1/2023321103739 on 3/2/2023321103739 on 7/18/2023290127850 on 3/27/2024

No. Clients, Historic

105020192020202120222023202420258 on 6/14/20197 on 9/27/20197 on 1/2/20207 on 9/23/20207 on 10/1/20207 on 3/27/20216 on 3/30/20226 on 9/9/20229 on 3/1/20239 on 3/2/20239 on 7/18/20237 on 3/27/2024

Holdings

From latest 13F, filed August 2nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ADVANCED MICRO DEVICES INC COM 3M 18K –
AMAZON COM INC COM 4M 20K –
AMERIPRISE FINL INC COM 1M 2K –
APPFOLIO INC COM CL A 3M 11K –
APPLE INC COM 4M 21K –
AT&T INC COM 2M 112K –
AXCELIS TECHNOLOGIES INC COM NEW 2M 11K –
BADGER METER INC COM 2M 12K –
BANK AMERICA CORP COM 648K 16K –
BOOKING HOLDINGS INC COM 1M 296 –
BOSTON SCIENTIFIC CORP COM 5M 67K –
BROADCOM INC COM 3M 2K –
C3 AI INC CL A 927K 32K –
CADENCE DESIGN SYSTEM INC COM 2M 5K –
CBOE GLOBAL MKTS INC COM 1M 9K –
CONSTELLATION ENERGY CORP COM 8M 41K –
COPART INC COM 3M 47K –
DECKERS OUTDOOR CORP COM 3M 3K –
E L F BEAUTY INC COM 1M 6K –
EATON CORP PLC SHS 2M 7K –
ECOLAB INC COM 803K 3K –
ELI LILLY & CO COM 9M 10K –
FAIR ISAAC CORP COM 2M 2K –
FEDERAL SIGNAL CORP COM 816K 10K –
GE AEROSPACE COM NEW 3M 20K –
GLOBAL X FDS GB MSCI AR ETF 1M 21K –
GRAINGER W W INC COM 2M 3K –
GREEN BRICK PARTNERS INC COM 625K 11K –
HOWMET AEROSPACE INC COM 5M 61K –
HUBBELL INC COM 650K 2K –
INGERSOLL RAND INC COM 1M 13K –
INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 6M 152K –
INVESCO QQQ TR UNIT SER 1 26M 54K –
ISHARES SILVER TR ISHARES 374K 14K –
ISHARES TR 20 YR TR BD ETF 5M 49K –
ISHARES TR RUSSELL 2000 ETF 2M 9K –
JPMORGAN CHASE & CO. COM 856K 4K –
MANHATTAN ASSOCIATES INC COM 526K 2K –
MAXIMUS INC COM 2M 21K –
META PLATFORMS INC CL A 3M 6K –
MICROSOFT CORP COM 5M 11K –
MOOG INC CL A 936K 6K –
NOVO-NORDISK A S ADR 3M 21K –
NVIDIA CORPORATION COM 28M 229K –
PROGRESSIVE CORP COM 3M 16K –
QUANTA SVCS INC COM 313K 1K –
RAYMOND JAMES FINL INC COM 906K 7K –
REGENERON PHARMACEUTICALS COM 3M 2K –
SAGE THERAPEUTICS INC COM 121K 11K –
SALESFORCE INC COM 4M 15K –
SCHWAB CHARLES CORP COM 678K 9K –
SELECT SECTOR SPDR TR ENERGY 5M 59K –
SELECT SECTOR SPDR TR FINANCIAL 2M 38K –
SELECT SECTOR SPDR TR INDL 267K 2K –
SELECT SECTOR SPDR TR TECHNOLOGY 30M 135K –
SELECT SECTOR SPDR TR COMMUNICATION 2M 28K –
SKYWORKS SOLUTIONS INC COM 697K 7K –
SPDR GOLD TR GOLD SHS 423K 2K –
SPDR S&P 500 ETF TR TR UNIT 14M 25K –
SPDR SER TR S&P CAP MKTS 3M 26K –
SPDR SER TR AEROSPACE DEF 2M 14K –
SPDR SER TR PORTFOLIO S&P400 3M 55K –
SPDR SER TR PRTFLO S&P500 GW 3M 41K –
SPS COMM INC COM 2M 10K –
SUPER MICRO COMPUTER INC COM 20M 25K –
SYNOPSYS INC COM 2M 4K –
TEREX CORP NEW COM 582K 11K –
TESLA INC COM 4M 20K –
TRANSDIGM GROUP INC COM 2M 2K –
TRI POINTE HOMES INC COM 712K 19K –
TYLER TECHNOLOGIES INC COM 736K 1K –
UNITED STS OIL FD LP UNITS 928K 12K –
VANECK ETF TRUST SEMICONDUCTR ETF 35M 134K –
VANGUARD WORLD FD FINANCIALS ETF 6M 62K –
VERISK ANALYTICS INC COM 3M 12K –
VERTEX PHARMACEUTICALS INC COM 3M 7K –
VERTIV HOLDINGS CO COM CL A 4M 50K –
WESCO INTL INC COM 555K 3K –
WINMARK CORP COM 573K 2K –