CAVU WEALTH MANAGEMENT
CAVU WEALTH MANAGEMENT INC. Legal Name
Adviser information for CAVU WEALTH MANAGEMENT last updated from Form ADV on March 8th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 722 | $111.0M |
| Non-Discretionary | 187 | $3.5M |
| Total | 909 | $114.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 260 | $59.2M |
| HNW Individuals | 30 | $52.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $1.3M |
| 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 | 7 | $1.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-129732 |
|---|---|
| SEC ERA File Number | 801-129732 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 299089 |
| Legal Entity Identifier | None |
Principal Office
10001 MAINE AVELAKESIDE
CA
United States
Monday - Friday, 8:00 - 5:00
Tel: 858-360-7800, Fax: 858-360-7801
Websites
Chief Compliance Officer
PHILLIP JONES
10001 MAINE AVE
LAKESIDE
CA
United States
Tel:
858-360-7800
Fax:
858-360-7801
P*****@*********M
(Full email address available in API data)
Regulatory Contact
MICHAEL WYNNS
CEO
10001 MAINE AVE
LAKESIDE
CA
United States
Tel:
858-360-7800
Fax:
858-360-7801
M*****@*********M
(Full email address available in API data)
Industry Affiliates
| CAVU INSURANCE SERVICES, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WYNNS, MICHAEL, SHAWN | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2018 | 25-50% |
| GOMES, DANIEL, OWEN | Individual | – | CHIEF FINANCIAL OFFICER | 09/2018 | 25-50% |
| JONES, PHILLIP, AL | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2018 | 25-50% |