CAVES & ASSOCIATES
CRD #107386 SEC #801-39728 MANHATTAN BEACH, CA 310-545-4179
SEC Registered
Total AUM
$132.4M
Discretionary
$128.2M
Employees
1
Clients
51
Accounts
265
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 8, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| MAZZONI, SUSAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MAZZONI, SUSAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MAZZONI, SUSAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MAZZONI, SUSAN, LEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CAVES, PRESTON, STILSON | I | OWNER/PROPRIETOR | E | Control |
| CAVES, PRESTON, STILSON | I | OWNER/PROPRIETOR | E | Control |
| CAVES, PRESTON, STILSON | I | OWNER/PROPRIETOR | E | Control |
| CAVES, PRESTON, STILSON | I | OWNER/PROPRIETOR | E | Control |
| CAVES, PRESTON, STILSON | I | CHIEF COMPLIANCE OFFICER | E | Control |
| CAVES, PRESTON, STILSON | I | CHIEF COMPLIANCE OFFICER | E | Control |
| CAVES, PRESTON, STILSON | I | CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Oct 8, 2012 REGISTERED
Notice Filings (1)
CA
Address
1334 PARK VIEW AVE,STE 100MANHATTAN BEACH, CA 90266
United States
Phone: 310-545-4179