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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

ADAPTIVE INVESTMENTS

CAVALIER INVESTMENTS, LLC, CRD 281201

ALPHARETTA, GA

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:df5fa315-5a6a-0a8a-da5f-90ab933649ab

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 7
On other graphs: 0
Observed: Aug 10, 2015 to Mar 30, 2026
34 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: asset managerderivedprivate_client_share=0.0 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $421MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $418M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 7
SEC number: 801-106545
CRD: 281201
Filings on the tape: 34
First filed: Aug 10, 2015
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, GA
Website: adaptiveinv.com

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
CAVALIER16, INC.	DIRECT OWNER	D	yes	08/2016	Aug 30, 2016	Jun 3, 2024
RUTHERFORD, GREGORY, ALLAN	Owner	E	yes	08/2016	Aug 10, 2015	Jun 3, 2024
RUTHERFORD, GREGORY, ALLAN	PRESIDENT AND CEO	Na	yes	08/2015	Aug 10, 2015	Jun 3, 2024
SMITH, JEFFREY, ANDREW	CHIEF COMPLIANCE OFFICER	Na	yes	07/2023	Jul 18, 2023	Jun 3, 2024
Brookhouser, Maria, S	DIRECT OWNER	B	no	08/2016	Sep 8, 2016	Jun 3, 2024
WETHERINGTON, GARY, SCOTT	CHIEF INVESTMENT OFFICER	Na	no	07/2016	Sep 8, 2016	Jun 3, 2024

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
PARTNERS WEALTH MANAGEMENT, LLC	n/a	Independent wealth	$1.2B	Y	yes	n/a
ELITE TAMP LLC	n/a	Asset manager	$322,063	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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; showing 10 of 11

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$421M	$418M	7	3	1	n/a	n/a
2024	Mar 28, 2025	$362M	$360M	7	3	1	n/a	n/a
2023	Mar 27, 2024	$290M	$287M	7	3	1	n/a	n/a
2022	Mar 1, 2023	$321M	$308M	7	3	1	n/a	n/a
2021	Mar 30, 2022	$481M	$460M	7	3	1	n/a	n/a
2020	Mar 27, 2021	$247M	$245M	7	3	1	n/a	n/a
2019	Sep 27, 2019	$294M	$294M	7	3	1	n/a	n/a
2018	Sep 28, 2018	$376M	$376M	3	2	1	n/a	n/a
2017	Sep 29, 2017	$252M	$252M	4	2	n/a	n/a	n/a
2016	Aug 30, 2016	$197M	$197M	2	2	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
2025	$421M	$362M	16.5%	$321M	9.5%	7	7	1	1

Relationships

Affiliated with (5)

← THEPARTNERS WEALTH MANAGEMENTRegistered adviserother investment adviser
factForm ADV
← ELITE PORTFOLIOSRegistered adviserother investment adviser, common control
factForm ADV
← WHITWELL ADVISORSRegistered adviserother investment adviser, control, common control
factForm ADV
→ THEPARTNERS WEALTH MANAGEMENTRegistered adviserother investment adviser, control, common control
factForm ADV
→ ELITE PORTFOLIOSRegistered adviserother investment adviser, control, common control
factForm ADV

Owns (2)

← WETHERINGTON, GARY, SCOTTOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Sep 8, 2016 to Jun 3, 2024factForm ADV
← Brookhouser, Maria, SOwnerDIRECT OWNER, ownership code B, individual
Sep 8, 2016 to Jun 3, 2024factForm ADV

Controls (3)

← RUTHERFORD, GREGORY, ALLANOwnerOWNER, ownership code E, individual
Aug 10, 2015 to Jun 3, 2024factForm ADV
← SMITH, JEFFREY, ANDREWOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 18, 2023 to Jun 3, 2024factForm ADV
← CAVALIER16, INC.OwnerDIRECT OWNER, ownership code D, domestic entity
Aug 30, 2016 to Jun 3, 2024factForm ADV

Registered with (1)

← TIMOTHY FRANCIS SHANAHANAdvisorregistration: previous registration
Sep 23, 2015 to Nov 29, 2016factForm ADV

Dated events

Occurred
Jul 18, 2023
Control person joined
Andrew Jeffrey Smith (Chief Compliance Officer) appeared on Schedule A of Adaptive Investments
Form ADVobserved 5 days ago
Occurred
Jul 18, 2023
Control person left
Keith Raulin Villegas (Chief Compliance Officer) no longer on Schedule A of Adaptive Investments (listed 2023-03-02, absent 2023-07-18)
Form ADVobserved 5 days ago
Occurred
Mar 1, 2023
Regulatory AUM changed
Adaptive Investments reported RAUM $321.1M, down 33% from $480.6M (2022-09-09 to 2023-03-01)
Form ADVobserved 5 days ago
$-160M
Occurred
Mar 30, 2022
Regulatory AUM changed
Adaptive Investments reported RAUM $480.6M, up 95% from $246.9M (2021-03-27 to 2022-03-30)
Form ADVobserved 5 days ago
$234M
Occurred
Jan 2, 2020
Control person left
M Jocelyn Dalkin (Chief Compliance Officer) no longer on Schedule A of Adaptive Investments (listed 2019-09-27, absent 2020-01-02)
Form ADVobserved 5 days ago
Occurred
Jan 2, 2020
Control person joined
Keith Raulin Villegas (Chief Compliance Officer) appeared on Schedule A of Adaptive Investments
Form ADVobserved 5 days ago
Occurred
Aug 10, 2015
First Form ADV filing
Cavalier Investments filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df5fa315-5a6a-0a8a-da5f-90ab933649ab
First observed: Aug 10, 2015
Last observed: Mar 30, 2026 5 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.

ADAPTIVE INVESTMENTS

CAVALIER INVESTMENTS, LLC, CRD 281201

ALPHARETTA, GA

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:df5fa315-5a6a-0a8a-da5f-90ab933649ab

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:02 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CAVALIER16, INC.

DIRECT OWNER

yes

08/2016

Aug 30, 2016

Jun 3, 2024

RUTHERFORD, GREGORY, ALLAN

Owner

yes

08/2016

Aug 10, 2015

Jun 3, 2024

RUTHERFORD, GREGORY, ALLAN

PRESIDENT AND CEO

yes

08/2015

Aug 10, 2015

Jun 3, 2024

SMITH, JEFFREY, ANDREW

CHIEF COMPLIANCE OFFICER

yes

07/2023

Jul 18, 2023

Jun 3, 2024

Brookhouser, Maria, S

DIRECT OWNER

08/2016

Sep 8, 2016

Jun 3, 2024

WETHERINGTON, GARY, SCOTT

CHIEF INVESTMENT OFFICER

07/2016

Sep 8, 2016

Jun 3, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PARTNERS WEALTH MANAGEMENT, LLC

n/a

Independent wealth

$1.2B

yes

n/a

ELITE TAMP LLC

n/a

Asset manager

$322,063

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$421M

$418M

n/a

2024

Mar 28, 2025

$362M

$360M

n/a

2023

Mar 27, 2024

$290M

$287M

n/a

2022

Mar 1, 2023

$321M

$308M

n/a

2021

Mar 30, 2022

$481M

$460M

n/a

2020

Mar 27, 2021

$247M

$245M

n/a

2019

Sep 27, 2019

$294M

n/a

2018

Sep 28, 2018

$376M

n/a

2017

Sep 29, 2017

$252M

n/a

2016

Aug 30, 2016

$197M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$421M

$362M

16.5%

$321M

9.5%