Overview
• Company Description - Aventura Capital Management, LLC (“we”, “us” or the
“Company”) is an investment advisory firm registered with the Securities and Exchange
Commission (SEC) pursuant to the Investment Advisers Act of 1940 (the “Advisers
Act”).The Company is located in Aventura, Florida and has been managing investments
for its clients since 2006. Aventura Capital Management is wholly owned by Aventura
Holdings, LLC. Daniel Cauceglia is the sole owner of Aventura Holdings as well as
Company’s Founder and Chief Executive Officer.
• Advisory Services - For most clients, the Company’s investment advisory services are
deemed to be “investment supervisory services” under the Advisers Act which means
giving continuous advice as to the investment of funds on the basis of the individual
needs of each client. In some instances, the Company may provide investment advisory
services through consultations or other methods that do not involve investment
supervisory services.
For most clients, the Company allocates managed assets on a discretionary basis among
individual corporate equities, mutual funds, exchange traded funds, corporate,
government, and municipal debt securities, and options. The Company may also
introduce, advise on, and/or refer clients to independent funds and/or managers. The
Company may also advise on the asset allocation of the securities components of
accounts held by, managed, or advised by other money managers or investment advisors
through a sub advisory agreement. The Company may also advise on the asset allocation
of the securities components of accounts of variable annuities and/or variable life
insurance contracts in accordance with the investment objective and risk tolerance of the
client. In addition, the Company may also advise on the asset allocation of the securities
components and give investment advice to the sponsor and/or participants of pension
and/or defined profit sharing plans.
The Company’s investment advisory services include both discretionary and non-
discretionary management of assets in accordance with the investment objective(s)
of
the client. To the extent specifically requested by a client or another money manager or
investment advisor through a sub advisory agreement, the Company will share in the fees
established by and paid to the client’s money manager or investment advisor. The
Company also may provide limited consultation and information services to clients on
investment and non-investment related matters. In consideration for providing
consultation services that are rendered, including the Company introducing clients to
other investment advisors and/or managers, the Company may or may not receive
additional compensation either from the client or referral fees from the other investment
advisors and/or managers.
The Company, depending upon the engagement, offers services on a fee basis based upon
the amount of assets under management. Alternatively, certain of the Company’s
Investment Adviser Representatives may offer securities brokerage services and
insurance products under a commission arrangement from either both affiliated and
unaffiliated broker dealers or insurance agencies. Prior to engaging the Company to
provide any of the foregoing investment advisory services, the client will be required to
enter into one or more written agreements with the Company setting forth the terms and
conditions under which the Company shall render its services (collectively, the
“Agreement”).
• Tailored Advisory Services - The Company may further tailor advisory services to the
individual needs of a client. If so, services will be based on a specific written investment
plan signed by the Company and client. In such instances, the client may impose
restrictions on investing in certain securities or types of securities.
• Wrap Fee Programs – As of the date of this brochure, the Company does not participate
in wrap fee programs.
• Management of Client Assets – As of March 30, 2024 the Company managed
approximately $36,500,0000 on a discretionary basis and approximately $25,900,000 on
a non-discretionary basis.