CAVES & ASSOCIATES, LLC
Legal name: CAVES & ASSOCIATES
CRD #167410 SEC #801-77944 MANHATTAN BEACH, CA 310-545-4179
SEC Registered
Total AUM
$191.3M
Discretionary
$185.8M
Employees
4
Clients
26
Accounts
310
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 29, 2018
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| GAFNEY, SANDRA, KATHLEEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| GAFNEY, SANDRA, KATHLEEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| GAFNEY, SANDRA, KATHLEEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| GAFNEY, SANDRA, KATHLEEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| GAFNEY, SANDRA, KATHLEEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| GAFNEY, SANDRA, KATHLEEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| CAVES, PRESTON, STILSON | I | CHIEF EXECUTIVE OFFICER | E | Control |
| CAVES, PRESTON, STILSON | I | CHIEF EXECUTIVE OFFICER | E | Control |
| CAVES, PRESTON, STILSON | I | CHIEF EXECUTIVE OFFICER | E | Control |
| CAVES, PRESTON, STILSON | I | CHIEF EXECUTIVE OFFICER | E | Control |
| CAVES, PRESTON, STILSON | I | CHIEF EXECUTIVE OFFICER | E | Control |
| CAVES, PRESTON, STILSON | I | CHIEF EXECUTIVE OFFICER | E | Control |
Registrations
Federal
IA
Mar 29, 2018 REGISTERED
Notice Filings (1)
CA
Address
1334 PARK VIEW AVESTE #100
MANHATTAN BEACH, CA 90266
United States
Phone: 310-545-4179