C
CAVE, INC.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$2,250,000
Clients
15
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
15
TypicalAverage account size
$150,000
About
The firm is a solo registered investment adviser that works with a small, select group of individual clients, including IRAs and other retirement accounts. It offers financial planning and discretionary portfolio management, typically beginning with an initial consultation and applying the same investment strategy across clients.
Its investment approach centers on a single market‑timing strategy implemented primarily with exchange‑traded funds and individual common stocks, often including sector ETFs or more volatile equities. Trading activity is higher than average and the firm may keep assets in cash for extended periods to prioritize capital preservation, with accounts managed on a discretionary basis.
Distinctive features include the principal’s insurance background—professional insurance designations and prior representation of a life insurance company—indicating insurance expertise alongside investment advisory services, which is uncommon for independent RIAs. The firm also requires custody of client assets at a single recommended broker‑dealer and does not vote client proxies, items prospective clients may want to consider.
Client services
Financial planning
Portfolio management
Expertise
Active portfolio management
Fee options
1% per annum regardless of account size
Main office location
CAVE, INC.
Augusta GA, United States
Number of offices
1
Most active in
CAVE, INC. has reported serving >5 clients in these states in the last 12 months.
Georgia
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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