Cavalier Investments, Llc
- Regulatory AUM
- $421M
- Discretionary
- $418M
- Clients
- 7
- Avg AUM / client
- $60.2M
- Accounts
- 7
- Employees
- 7
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 4 | $418M | 99.3% |
| Other | 3 | $3.1M | 0.73% |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gregory Allan Rutherford | President And Ceo | CFP | Aug 2015 (11y) | ≈ 37.5% – 75% via Cavalier16, Inc. |
| Wetherington, Gary, Scott | Chief Investment Officer | Jul 2016 (10y) | Less than 5% | |
| Brookhouser, Maria, S | Direct Owner | Aug 2016 (10y) | 10% – 25% | |
| Smith, Jeffrey, Andrew | Chief Compliance Officer | Jul 2023 (3y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Cavalier16, Inc. | Direct Owner | Aug 2016 | A | 50% – 75% |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Gregory Allan Rutherford: 75% – 100% of Cavalier16, Inc. × 50% – 75% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- TD Ameritrade $1.7M (1% of AUM) Mar 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗