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

Cavu Wealth Advisors

Former SEC-registered adviserWalnut Creek, CaliforniaCRD 151361SEC 801-122642IAPD
Legal name Cavu Wealth Advisors, LLC
Latest filing Mar 6, 2023
First filing on the tape Oct 6, 2021 · 8 filings
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$105M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$111M as of Mar 6, 2023
Mar 1, 2022$114M then
HNW client RAUM$97.5M as of Mar 6, 2023
Mar 1, 2022$101M then
State-registered IARs (5.B.3)2 as of Mar 6, 2023
Mar 1, 20223 then
Employees (5.A)3 as of Mar 6, 2023
Mar 1, 20224 then
Private funds: no history
RAUM -3.2% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 6, 2023; every figure names its basis
RAUM per advisor
$55.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.2%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
  • 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)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$97.5M88%
  • Individuals$7.5M6.8%
  • Pension and profit-sharing plans$4.2M3.8%
  • Charitable organizations$1.5M1.4%
Individual clients
21reported
HNW clients
38reported
Pension plan clients
1reported
Charitable clients
1reported
Accounts
69reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
  • George David Sylvester · Founding Principal, Ccocontrol
    since 08/2009 · owns 75% or more
  • Sylvester Hilary Disher · Partner
    since 01/2018 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 65 to 69
    Mar 16, 2022 to Mar 6, 2023
  • Advisory employees · 3 to 2
    Mar 16, 2022 to Mar 6, 2023
  • Employees · 4 to 3
    Mar 16, 2022 to Mar 6, 2023
  • State-registered IARs · 3 to 2
    Mar 16, 2022 to Mar 6, 2023
  • Discretionary RAUM · $114M to $111M
    Mar 16, 2022 to Mar 6, 2023
  • HNW RAUM · $101M to $97.5M
    Mar 16, 2022 to Mar 6, 2023
  • Pension RAUM · $4.6M to $4.2M
    Mar 16, 2022 to Mar 6, 2023
  • RAUM · $114M to $111M
    Mar 16, 2022 to Mar 6, 2023
  • Accounts · 61 to 65
    Dec 20, 2021 to Mar 1, 2022
  • Discretionary RAUM · $111M to $114M
    Dec 20, 2021 to Mar 1, 2022
  • HNW RAUM · $97.4M to $101M
    Dec 20, 2021 to Mar 1, 2022
  • Pension RAUM · $4.6M to $4.6M
    Dec 20, 2021 to Mar 1, 2022
  • RAUM · $111M to $114M
    Dec 20, 2021 to Mar 1, 2022
Signals
2 dated events
  • Herbert Daniel Pease left Cavu Wealth Advisors for Mariner (registered 2022-07-28)
    Aug 4, 2022 · Advisor changed firm · fact
  • Cavu Wealth Advisors filed its initial SEC registration (Form ADV)
    Oct 6, 2021 · First SEC registration · 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