# Cavalcade Capital LLC

> Cavalcade Capital LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 5, 2026.

- CRD: 327292
- Filed as: CAVALCADE CAPITAL LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: June 5, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/327292
- AdvisorCensus page: https://advisorcensus.com/firm/cavalcade-capital-llc-new-york-ny-327292

## Quick answers

**How is Cavalcade Capital LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Cavalcade Capital LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Cavalcade Capital LLC located?**
Cavalcade Capital LLC's principal office is in New York, NY, according to its Form ADV.

**Is Cavalcade Capital LLC registered with the SEC or a state?**
Cavalcade Capital LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 327292.

**How much does Cavalcade Capital LLC manage?**
Cavalcade Capital LLC reports $149,900,000 in regulatory assets under management in its Form ADV filing dated June 5, 2026 (0% discretionary).

**How have Cavalcade Capital LLC's assets and staff changed since 2024?**
In the Form ADV data for Cavalcade Capital LLC: Regulatory assets under management: $138,000,000 in the October 2024 data and $149,900,000 in the October 2026 data, up 9%. Total employees: 1 in October 2024 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**Which custodians does Cavalcade Capital LLC use?**
Cavalcade Capital LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated as custodians holding 10% or more of its separately managed account assets.

**Does Cavalcade Capital LLC report any disciplinary disclosures?**
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/327292

**What changed in Cavalcade Capital LLC's recent Form ADV filings?**
In the July 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Custodians (Schedule D, Section 5.K(3))
- Goldman Sachs & Co. LLC
- J.P. Morgan Securities LLC
- Merrill Lynch, Pierce, Fenner & Smith Incorporated

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $149,900,000
- Discretionary: $0
- Non-discretionary: $149,900,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | Fewer than 5 | $149,900,000 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2024 (2 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- cavalcade.capital

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2024 | $138,000,000 | 1 | September 9, 2024 |
| October 2025 | $142,000,000 | 1 | March 18, 2025 |
| October 2026 | $149,900,000 | 2 | June 5, 2026 |

Regulatory assets under management: $138,000,000 in the October 2024 data and $149,900,000 in the October 2026 data, up 9%.
Total employees: 1 in October 2024 and 2 in October 2026.

## Changes in the filing (last 12 months)

### July 2026
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Cavalcade Capital LLC (CRD 327292): Form ADV filing data as of October 2026.