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.

Former SEC-registered adviser

Cabana Advisors, LLC

Former SEC-registered adviserPlano, TexasCRD 145395SEC 801-68549IAPD
Latest filing Mar 30, 2020
First filing on the tape Dec 12, 2011 · 24 filings
RAUM
$36.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$36.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
24 filings and snapshots on the tape
RAUM$36.1M as of Mar 30, 2020
Mar 13, 2012$191M then
HNW client RAUM$8.0M as of Mar 27, 2019
Mar 28, 2018$17.5M then
State-registered IARs (5.B.3)2 as of Mar 30, 2020
Mar 28, 20136 then
Employees (5.A)2 as of Mar 30, 2020
Mar 28, 20138 then
Private funds: no history
RAUM -70% over the last fiscal year-24% a year over threeIARs 4 to 2offices 1 to 0
Practice profile
derived from the filing of Mar 30, 2020; every figure names its basis
RAUM per advisor
$18.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$36.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-70%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$36.1M100%
Individual clients
1reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Giuseppe Daniel Ippolito · Chief Compliance Officercontrol
    since 12/2019 · owns less than 5%
  • Chaddwick George Mason · Managing Membercontrol
    since 09/2005 · owns 75% or more of Gcm Investments, LLC
  • Abraham Louis Shaff · Membercontrol
    since 01/2017 · owns 25% to 50% of The Cabana Group, LLC
Entity owners
  • The Cabana Group, LLC · Managing Member
    direct · owns 75% or more
  • Gcm Investments, LLC · Managing Member
    indirect · owns 25% to 50% of The Cabana Group, LLC
Related persons
Schedule D 7.A
  • Cabana Financial LLC
    real estaten
  • Cabana Asset Management
    investment advisernRAUM $472M
  • Prevost, Shaff, Mason, & Carns, Pllc
    n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 2,710 to 1
    Jul 1, 2019 to Dec 25, 2019
  • Business name · FUND ARCHITECTS, LLC to CABANA ADVISORS, LLC
    Jul 1, 2019 to Dec 25, 2019
  • HNW clients · 7.0 to unset
    Jul 1, 2019 to Dec 25, 2019
  • Individual clients · 2,710 to 1
    Jul 1, 2019 to Dec 25, 2019
  • Other offices · 1 to 0
    Jul 1, 2019 to Dec 25, 2019
  • Discretionary RAUM · $118M to $36.1M
    Jul 1, 2019 to Dec 25, 2019
  • HNW RAUM · 15725771.0 to unset
    Jul 1, 2019 to Dec 25, 2019
  • Individual RAUM · $103M to $36.1M
    Jul 1, 2019 to Dec 25, 2019
  • RAUM · $118M to $36.1M
    Jul 1, 2019 to Dec 25, 2019
  • Accounts · 2,664 to 2,710
    Apr 26, 2019 to Jun 22, 2019
  • BD registered reps · 1 to 0
    Apr 26, 2019 to Jun 22, 2019
  • HNW clients · unset to 7.0
    Apr 26, 2019 to Jun 22, 2019
  • Individual clients · 2,664 to 2,710
    Apr 26, 2019 to Jun 22, 2019
  • Employees · 4 to 2
    Apr 26, 2019 to Jun 22, 2019
  • Insurance-licensed employees · 2 to 1
    Apr 26, 2019 to Jun 22, 2019
  • HQ city · HEATH to PLANO
    Apr 26, 2019 to Jun 22, 2019
  • State-registered IARs · 4 to 2
    Apr 26, 2019 to Jun 22, 2019
  • Discretionary RAUM · $120M to $118M
    Apr 26, 2019 to Jun 22, 2019
  • HNW RAUM · $8.0M to $15.7M
    Apr 26, 2019 to Jun 22, 2019
  • Individual RAUM · $112M to $103M
    Apr 26, 2019 to Jun 22, 2019
  • RAUM · $120M to $118M
    Apr 26, 2019 to Jun 22, 2019
  • Legal name · FUND ARCHITECTS, LLC to CABANA ADVISORS, LLC
    Jun 22, 2019 to Jun 22, 2019
  • Related adviser · false to true
    Mar 27, 2019 to Apr 26, 2019
  • Accounts · 2,475 to 2,664
    Mar 28, 2018 to Mar 27, 2019
  • HNW clients · 5.0 to unset
    Mar 28, 2018 to Mar 27, 2019
  • Individual clients · 2,475 to 2,664
    Mar 28, 2018 to Mar 27, 2019
  • Discretionary RAUM · $129M to $120M
    Mar 28, 2018 to Mar 27, 2019
  • HNW RAUM · $17.5M to $8.0M
    Mar 28, 2018 to Mar 27, 2019
  • Individual RAUM · $111M to $112M
    Mar 28, 2018 to Mar 27, 2019
  • RAUM · $129M to $120M
    Mar 28, 2018 to Mar 27, 2019
  • Accounts · 500 to 2,475
    Jun 14, 2017 to Mar 28, 2018
  • HNW clients · unset to 5.0
    Jun 14, 2017 to Mar 28, 2018
  • Individual clients · unset to 2475.0
    Jun 14, 2017 to Mar 28, 2018
  • Other offices · unset to 1.0
    Jun 14, 2017 to Mar 28, 2018
  • Discretionary RAUM · $83.0M to $129M
    Jun 14, 2017 to Mar 28, 2018
  • HNW RAUM · unset to 17518731.0
    Jun 14, 2017 to Mar 28, 2018
  • Individual RAUM · unset to 110985425.0
    Jun 14, 2017 to Mar 28, 2018
  • RAUM · $83.0M to $129M
    Jun 14, 2017 to Mar 28, 2018
  • Accounts · 1,200 to 500
    Mar 28, 2016 to Mar 31, 2017
  • Advisory employees · 3 to 2
    Mar 28, 2016 to Mar 31, 2017
Signals
6 dated events
  • Giuseppe Daniel Ippolito (Chief Compliance Officer) appeared on Schedule A of Cabana Advisors, Llc
    Dec 25, 2019 · Control person joined · fact
  • Ray Daniel Snover (Chief Compliance Officer) no longer on Schedule A of Cabana Advisors, Llc (listed 2019-07-01, absent 2019-12-25)
    Dec 25, 2019 · Control person left · inference
  • 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)
    Apr 26, 2019 · Control person left · inference
  • Leone Rachelle Reed (Owner) no longer on Schedule A of Cabana Advisors, Llc (listed 2019-03-27, absent 2019-04-26)
    Apr 26, 2019 · Control person left · inference
  • Abraham Louis Shaff (Member) appeared on Schedule A of Cabana Advisors, Llc
    Apr 26, 2019 · Control person joined · fact
  • Chaddwick George Mason (Managing Member) appeared on Schedule A of Cabana Advisors, Llc
    Apr 26, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026