{ "crd_number": 281201, "slug": "adaptive-investments-alpharetta-ga-281201", "primary_business_name": "ADAPTIVE INVESTMENTS", "legal_name": "CAVALIER INVESTMENTS, LLC", "dbas": [], "city": "Alpharetta", "state": "GA", "country": "United States", "cbsa_code": "12060", "metro": { "cbsa_code": "12060", "common_name": "Atlanta", "msa_name": "Atlanta-Sandy Springs-Roswell, GA", "path": "/advisors/ga/atlanta" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2015-08-19", "years_registered": 11, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 421361387.0, "raum_discretionary": 418288957.0, "raum_non_discretionary": 3072430.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 7, "advisory_employees": 3, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 3072430.0, "count": 3, "description": "MODEL PORTFOLIOS", "fewer_than_5": true }, "investment_companies": { "raum": 418288957.0, "count": 4 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_investment_companies" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA", "GA" ], "websites": [ "https://adaptiveinv.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/281201", "city_as_filed": "ALPHARETTA", "url": "https://advisorcensus.com/firm/adaptive-investments-alpharetta-ga-281201", "display_name": "Adaptive Investments", "summary": "Adaptive Investments is an SEC-registered investment advisory firm in Alpharetta, GA, registered since 2015, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Adaptive Investments (CRD 281201): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for investment companies (and business development companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Adaptive Investments compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Adaptive Investments reports these compensation arrangements: a percentage of assets under its management." }, { "q": "Where is Adaptive Investments located?", "a": "Adaptive Investments' principal office is in Alpharetta, GA, according to its Form ADV." }, { "q": "Is Adaptive Investments registered with the SEC or a state?", "a": "Adaptive Investments is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 281201." }, { "q": "How much does Adaptive Investments manage?", "a": "Adaptive Investments reports $421,361,387 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (99% discretionary)." }, { "q": "How have Adaptive Investments' assets and staff changed since 2021?", "a": "In the Form ADV data for Adaptive Investments: Regulatory assets under management: $246,931,298 in the October 2021 data and $421,361,387 in the October 2026 data, up 71%. Total employees: 7 in October 2021 and 7 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Adaptive Investments serve?", "a": "By number of clients on Form ADV Item 5.D: investment companies (4); other (3)." }, { "q": "Does Adaptive Investments report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/281201" }, { "q": "What changed in Adaptive Investments' recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $361,600,304 to $421,361,387 (+17%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 246931298.0, "total_employees": 7, "filing_date": "2021-03-27" }, { "period": "2022-10-01", "regulatory_assets_under_management": 480626666.0, "total_employees": 7, "filing_date": "2022-09-09" }, { "period": "2023-10-01", "regulatory_assets_under_management": 321103739.0, "total_employees": 7, "filing_date": "2023-07-18" }, { "period": "2024-10-01", "regulatory_assets_under_management": 290127850.0, "total_employees": 7, "filing_date": "2024-06-03" }, { "period": "2025-10-01", "regulatory_assets_under_management": 361600304.0, "total_employees": 7, "filing_date": "2025-05-07" }, { "period": "2026-10-01", "regulatory_assets_under_management": 421361387.0, "total_employees": 7, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $361,600,304 to $421,361,387 (+17%)." ] }, { "period": "2025-11-01", "period_label": "November 2025", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/adaptive-investments-alpharetta-ga-281201.md", "clients": [ { "type": "investment_companies", "label": "Investment companies", "count": 4, "fewer_than_5": false, "raum": 418288957.0 }, { "type": "other", "label": "Other", "count": 3, "fewer_than_5": true, "raum": 3072430.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/281201", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }