DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
The Cavanaugh Group Inc
Latest filing Jun 5, 2026
First filing on the tape Mar 26, 2012 · 23 filings
SEC status approved since Sep 29, 1995
RAUM
$486M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$476M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$243M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$486M as of Jun 5, 2026
Mar 26, 2012$264M then
HNW client RAUM$469M as of Jun 5, 2026
Mar 7, 2018$663M then
State-registered IARs (5.B.3)2 as of Jun 5, 2026
Mar 26, 20120 then
Employees (5.A)2 as of Jun 5, 2026
Mar 27, 20133 then
Private funds: no history
RAUM +7.1% over the last fiscal year-0.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $243MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $19.6MderivedHNW RAUM over HNW clients
- Average account
- $10.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$469M97%
- Pension and profit-sharing plans$8.5M1.7%
- Individuals$6.8M1.4%
- Charitable organizations$1.1M0.2%
- Individual clients
- 20reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 46reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Daniel Cavanaugh Keith | Hilton Head, Sc | Jan 1, 1996 | 30 y | 0 |
| Jessica Phelps Keith | Hilton Head, Sc | Jan 1, 1996 | 30 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Cavanaugh Daniel Keith · Presidentcontrolsince 10/1995 · owns 75% or more
- Phelps Jessica Keith · Vice President/Chief Compliance Officersince 10/1995 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hilton Head, Sc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 130 to 46Nov 13, 2025 to Feb 5, 2026
- Charity clients · 1.0 to unsetNov 13, 2025 to Feb 5, 2026
- HNW clients · 28 to 24Nov 13, 2025 to Feb 5, 2026
- Individual clients · 15 to 20Nov 13, 2025 to Feb 5, 2026
- Pension plan clients · 1.0 to unsetNov 13, 2025 to Feb 5, 2026
- Discretionary RAUM · $451M to $483MNov 13, 2025 to Feb 5, 2026
- HNW RAUM · $441M to $469MNov 13, 2025 to Feb 5, 2026
- Individual RAUM · $3.1M to $6.8MNov 13, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $2.7M to $3.0MNov 13, 2025 to Feb 5, 2026
- Pension RAUM · $8.3M to $8.5MNov 13, 2025 to Feb 5, 2026
- RAUM · $454M to $486MNov 13, 2025 to Feb 5, 2026
- Financial planning clients · 0 to 0Mar 17, 2025 to Nov 13, 2025
- HQ city · HILTON HEAD ISLAND to KIAWAH ISLANDMar 17, 2025 to Nov 13, 2025
- Accounts · 120 to 130Mar 19, 2024 to Mar 17, 2025
- HNW clients · 22 to 28Mar 19, 2024 to Mar 17, 2025
- Individual clients · 20 to 15Mar 19, 2024 to Mar 17, 2025
- Discretionary RAUM · $435M to $451MMar 19, 2024 to Mar 17, 2025
- HNW RAUM · $422M to $441MMar 19, 2024 to Mar 17, 2025
- Individual RAUM · $7.5M to $3.1MMar 19, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $2.7M to $2.7MMar 19, 2024 to Mar 17, 2025
- Pension RAUM · $6.3M to $8.3MMar 19, 2024 to Mar 17, 2025
- RAUM · $437M to $454MMar 19, 2024 to Mar 17, 2025
- Accounts · 110 to 120Feb 23, 2023 to Mar 19, 2024
- HNW clients · 26 to 22Feb 23, 2023 to Mar 19, 2024
- Individual clients · 19 to 20Feb 23, 2023 to Mar 19, 2024
- Discretionary RAUM · $484M to $435MFeb 23, 2023 to Mar 19, 2024
- HNW RAUM · $471M to $422MFeb 23, 2023 to Mar 19, 2024
- Individual RAUM · $7.9M to $7.5MFeb 23, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $2.8M to $2.7MFeb 23, 2023 to Mar 19, 2024
- Pension RAUM · $5.9M to $6.3MFeb 23, 2023 to Mar 19, 2024
- RAUM · $487M to $437MFeb 23, 2023 to Mar 19, 2024
- Accounts · 123 to 110Feb 16, 2022 to Feb 23, 2023
- HNW clients · 27 to 26Feb 16, 2022 to Feb 23, 2023
- Individual clients · 34 to 19Feb 16, 2022 to Feb 23, 2023
- Discretionary RAUM · $606M to $484MFeb 16, 2022 to Feb 23, 2023
- HNW RAUM · $559M to $471MFeb 16, 2022 to Feb 23, 2023
- Individual RAUM · $42.2M to $7.9MFeb 16, 2022 to Feb 23, 2023
- Non-discretionary RAUM · $4.0M to $2.8MFeb 16, 2022 to Feb 23, 2023
- Pension RAUM · $6.6M to $5.9MFeb 16, 2022 to Feb 23, 2023
- RAUM · $610M to $487MFeb 16, 2022 to Feb 23, 2023
Signals
1 dated events
- The Cavanaugh Group Inc reported RAUM $512.9M, down 27% from $700.6M (2018-03-07 to 2019-03-05)Mar 5, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 410-241-0084reportedpublic record, Form ADV, Jun 5, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $243Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026