Overview
Description of Firm
Cavalcade Capital LLC is a registered investment adviser based in New York, New York. We are
organized as a limited liability company ("LLC") under the laws of the State of Delaware. We began
conducting business in 2024 following the approval of our investment advisor registration by the US
Securities & Exchange Commission ("SEC"). We are owned by The Cavalcade Group LLC. We are
indirectly owned by Chadwick Kelly Faykus, Peter Dutton, and Jon Dutton.
The following paragraphs describe our services and fees. Refer to the description of each investment
advisory service listed below for information on how we tailor our advisory services to your individual
needs. As used in this brochure, the words "we," "our," and "us" refer to Cavalcade Capital LLC
("Cavalcade") and the words "you," "your," and "client" refer to you as either a client or prospective
client of our firm.
Portfolio Management Services
We offer non-discretionary portfolio management services. Our investment advice is tailored to meet
our clients' needs and investment objectives. If you enter into non-discretionary arrangements with our
firm, we must obtain your approval prior to executing any transactions on behalf of your account. You
have an unrestricted right to decline to implement any advice provided by our firm on a non-
discretionary basis.
As part of our portfolio management services, we may use one or more sub-advisers to manage a
portion of your account on a non-discretionary basis. We will regularly monitor the performance of your
accounts managed by sub-adviser(s).
You will not pay our firm a higher advisory fee as a result of any
sub-advisory relationships.
In addition, we may invest your assets according to one or more model portfolios developed by our
firm. These models are designed for investors with varying degrees of risk tolerance ranging from a
more aggressive investment strategy to a more conservative investment approach. Clients may
impose restrictions on investing in certain securities or types of securities in their account.
Types of Investments
We offer advice on various types of investments and assets including, but not limited to, equity
securities, corporate debt securities (other than commercial paper), commercial paper, certificates of
deposit, municipal securities, mutual fund shares, United States government securities, options
contracts on securities, options contracts on commodities, private placements, money market funds,
real estate, real estate investment trusts ("REITs"), derivatives, structured products, exchange traded
funds ("ETFs"), interests in partnerships investing in real estate and interests in partnerships investing
in oil and gas interests.
Since our investment strategies and advice are based on each client's specific financial situation, the
investment advice we provide to you may be different or conflict with the advice we give to other clients
regarding the same security or investment.
Assets Under Management
We are a newly registered investment adviser; therefore, we do not have any non-discretionary assets
under management as of the date of this brochure.
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