THE CAVANAUGH GROUP INC of KIAWAH ISLAND, SC is an SEC-registered investment adviser (CRD 105931). Regulatory assets under management: $485.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Daniel Cavanaugh Keith | PRESIDENT | — |
| Jessica Phelps Keith | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| KEITH DANIEL CAVANAUGH | PRESIDENT | — |
| WAGNER JESSICA ELIZABETH | VICE PRESIDENT/CCO; VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| HAYDEN MARINA | DIRECTOR OF CLIENT SERVICES | — |
| KEITH JESSICA PHELPS | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-06-22 | regulatory | THE CAVANAUGH GROUP, INC. WAS REQUIRED TO FILE A FORM CRS DISCLOSURE STATEMENT WITH THE SEC AND DELIVER FORM CRS TO PROSPECTIVE NEW RETAIL CLIENTS ON OR BEFORE JUNE 30, 2020. ADDITIONALLY, THE CAVANAUGH GROUP, INC. WAS REQUIRED TO DELIVER FORM CRS TO EXISTING RETAIL CLIENTS ON OR BEFORE JULY 30, 202… | Final | $50K |