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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

CABANA ADVISORS, LLC

CRD 145395

PLANO, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:475684ea-abd1-9595-1d4a-a938416e47fc

Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 6
On other graphs: 0
Observed: Dec 12, 2011 to Mar 30, 2020
24 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $36.1MItem 5.F on the latest filing (2020-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $36.1M
Private client RAUM: $36.1MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
Individual clients: 1
SEC number: 801-68549
CRD: 145395
Filings on the tape: 24
First filed: Dec 12, 2011
Latest filed: Mar 30, 2020
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
GCM INVESTMENTS, LLC	MANAGING MEMBER	C	yes	01/2017	Apr 26, 2019	Mar 30, 2020
IPPOLITO, DANIEL, GIUSEPPE	CHIEF COMPLIANCE OFFICER	Na	yes	12/2019	Dec 25, 2019	Mar 30, 2020
MASON, GEORGE, CHADDWICK	MANAGING MEMBER	E	yes	09/2005	Apr 26, 2019	Mar 30, 2020
SHAFF, LOUIS, ABRAHAM	Member	C	yes	01/2017	Apr 26, 2019	Mar 30, 2020
THE CABANA GROUP, LLC	MANAGING MEMBER	E	yes	04/2019	Jun 22, 2019	Mar 30, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CABANA LLC	n/a	Asset manager	$472M	N	yes	n/a
CABANA FINANCIAL LLC	n/a	n/a	n/a	N	yes	n/a
PREVOST, SHAFF, MASON, & CARNS, PLLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 30, 2020	$36.1M	$36.1M	2	2	0	n/a	n/a
2018	Mar 27, 2019	$120M	$120M	4	2	1	n/a	n/a
2017	Mar 28, 2018	$129M	$129M	4	2	1	n/a	n/a
2016	Mar 31, 2017	$83.0M	$83.0M	4	2	n/a	n/a	n/a
2015	Mar 28, 2016	$138M	$138M	5	3	n/a	n/a	n/a
2014	Mar 30, 2015	$182M	$182M	7	6	n/a	n/a	n/a
2013	Mar 21, 2014	$200M	$200M	8	5	n/a	n/a	n/a
2012	Mar 28, 2013	$198M	$198M	8	5	n/a	n/a	n/a
2011	Mar 13, 2012	$191M	$190M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$36.1M	$120M	-69.9%	$83.0M	-24.2%	2	4	0	1

Relationships

Affiliated with (1)

→ CABANA ASSET MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV

Controls (5)

← MASON, GEORGE, CHADDWICKOwnerMANAGING MEMBER, ownership code E, individual
Apr 26, 2019 to presentfactForm ADV
← SHAFF, LOUIS, ABRAHAMOwnerMEMBER, ownership code C, individual
Apr 26, 2019 to presentfactForm ADV
← IPPOLITO, DANIEL, GIUSEPPEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 25, 2019 to presentfactForm ADV
← GCM INVESTMENTS, LLCOwnerMANAGING MEMBER, ownership code C, domestic entity
Apr 26, 2019 to presentfactForm ADV
← THE CABANA GROUP, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Jun 22, 2019 to presentfactForm ADV

Registered with (4)

← DANIEL RAY SNOVERAdvisorregistration: previous registration
Jan 26, 2012 to Jun 25, 2020factForm ADV
← BURT ALLEN SNOVERAdvisorregistration: previous registration
Dec 10, 2007 to Apr 16, 2019factForm ADV
← JUN ZHUAdvisorregistration: previous registration
Jul 4, 2012 to Jul 11, 2017factForm ADV
← XIANGHAI HENRY MAAdvisorregistration: previous registration
May 2, 2012 to Jan 21, 2014factForm ADV

Dated events

Occurred
Dec 25, 2019
Control person joined
Giuseppe Daniel Ippolito (Chief Compliance Officer) appeared on Schedule A of Cabana Advisors, Llc
Form ADVobserved 4 days ago
Occurred
Dec 25, 2019
Control person left
Ray Daniel Snover (Chief Compliance Officer) no longer on Schedule A of Cabana Advisors, Llc (listed 2019-07-01, absent 2019-12-25)
Form ADVobserved 4 days ago
Occurred
Apr 26, 2019
Control person left
Allen Burt Snover (Managing Member / Chief Compliance Officer) no longer on Schedule A of Cabana Advisors, Llc (listed 2019-03-27, absent 2019-04-26)
Form ADVobserved 4 days ago
Occurred
Apr 26, 2019
Control person left
Leone Rachelle Reed (Owner) no longer on Schedule A of Cabana Advisors, Llc (listed 2019-03-27, absent 2019-04-26)
Form ADVobserved 4 days ago
Occurred
Apr 26, 2019
Control person joined
Abraham Louis Shaff (Member) appeared on Schedule A of Cabana Advisors, Llc
Form ADVobserved 4 days ago
Occurred
Apr 26, 2019
Control person joined
Chaddwick George Mason (Managing Member) appeared on Schedule A of Cabana Advisors, Llc
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:475684ea-abd1-9595-1d4a-a938416e47fc
First observed: Dec 12, 2011
Last observed: Mar 30, 2020 78 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CABANA ADVISORS, LLC

CRD 145395

PLANO, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:475684ea-abd1-9595-1d4a-a938416e47fc

Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:38 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GCM INVESTMENTS, LLC

MANAGING MEMBER

yes

01/2017

Apr 26, 2019

Mar 30, 2020

IPPOLITO, DANIEL, GIUSEPPE

CHIEF COMPLIANCE OFFICER

yes

12/2019

Dec 25, 2019

Mar 30, 2020

MASON, GEORGE, CHADDWICK

MANAGING MEMBER

yes

09/2005

Apr 26, 2019

Mar 30, 2020

SHAFF, LOUIS, ABRAHAM

Member

yes

01/2017

Apr 26, 2019

Mar 30, 2020

THE CABANA GROUP, LLC

MANAGING MEMBER

yes

04/2019

Jun 22, 2019

Mar 30, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CABANA LLC

n/a

Asset manager

$472M

yes

n/a

CABANA FINANCIAL LLC

n/a

yes

n/a

PREVOST, SHAFF, MASON, & CARNS, PLLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 30, 2020

$36.1M

n/a

2018

Mar 27, 2019

$120M

n/a

2017

Mar 28, 2018

$129M

n/a

2016

Mar 31, 2017

$83.0M

n/a

2015

Mar 28, 2016

$138M

n/a

2014

Mar 30, 2015

$182M

n/a

2013

Mar 21, 2014

$200M

n/a

2012

Mar 28, 2013

$198M

n/a

2011

Mar 13, 2012

$191M

$190M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$36.1M

$120M

-69.9%

$83.0M

-24.2%