Cavalry Management Group

CRD#167937
Investment Advisor Firm

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Overview

Cavalry Management Group operates as a financial advisor company that has its headquarters in San Francisco, California. It has $1.8 billion in assets over 16 client accounts, making it one of the biggest financial advisory firms in the country by assets under management (AUM). The company has a small group, including 10 financial advisors. Cavalry Management Group does not act as a registered broker-dealer, meaning the advisor cannot buy and sell securities for its accounts and those of its customers and instead has to go through a broker-dealer company to do so. Securities are defined as tradable fiscal assets such as options, stocks and bonds.

Cavalry Management Group oversees all of its client assets in a discretionary manner. Discretionary management is a structure in which a portfolio manager makes transaction decisions without requiring client authorization. The company's typical account size is $111.3 million. The average advisor at Cavalry Management Group manages around two client accounts, making it one of the most individualized advisor firms in the country.

Cavalry Management Group’s central office is at 101 Montgomery Street, San Francisco, California 94104. The company is allowed to provide services to investors in the state of California.

Assets Under Management

$1.8 billion

Number of Advisors

10

Disclosures

No

Office Location

101 Montgomery Street
San Francisco, CA 94104

Cavalry Management Group by the Numbers

Total Assets Under Management

$1.8 billion

National Average: $9.0 billion
Total Number of Employees

16

National Average: 71,771
Total Number of Accounts

16

National Average: 4,329
Average Account Size

$111.3 million

National Average: $2.1 million

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Fee Structure

Fees for financial advice largely are based on the type of services provided. However, fee types billed by the company most likely include the following fee structures: asset-based or performance-based. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the company.

Available

  • Offered by 70% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 26% of firms

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

Unavailable

  • Find one of the 21% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 1% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 0% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 33% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Find one of the 10% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

Cavalry Management Group caters to pooled investment vehicles and pension plans. Out of its 16 accounts, Cavalry Management Group's biggest client group by number of accounts is pooled investment vehicles. Around 25% of its accounts are non-U.S. persons.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 0%
  • Corporations - 100%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Cavalry Management Group does not have any disclosures.

Please visit its Form ADV for more details.

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The content in this profile was updated by SmartAsset on 04/01/2022 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact profile-compliance@smartasset.com.

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