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JD

Jon H. Dutton

CAVALCADE CAPITAL LLC
New York, NY 10006
Some features on this profile are disabled
CRD#: 7767223
JD

Professional summary

Jon Harold Dutton, who also goes by Jon Dutton, is a registered financial advisor currently at CAVALCADE CAPITAL LLC located in New York, New York.

Jon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Jon has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jon Dutton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Jon is the Founder and President of The Cavalcade Group, a New York based family investment firm located at 55 Broadway 3rd Floor, New York, NY, 10006. The Cavalcade Group operates as a single family office providing portfolio and direct investment advisory primarily to a family client since January 2021. This business takes approximately 80 hours/month of capacity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon Harold Dutton's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 14, 2024 - Present

CAVALCADE CAPITAL LLC

Office #1: 55 Broadway 3rd Floor, New York, NY 10006
RIA
CRD#: 327292
New York, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CC
CAVALCADE CAPITAL LLC
CAVALCADE CAPITAL LLC

CRD#: 327292 / SEC#: 801-130262

RIA
Registered Investment Advisory firm - (5/13/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
New York
(5/14/2024)
IAR
Texas
(5/14/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/13/2023
Uniform Investment Adviser Law Examination

Current Firm

CC
CAVALCADE CAPITAL LLC
CAVALCADE CAPITAL LLC

CRD#: 327292 / SEC#: 801-130262

RIA
Registered Investment Advisory firm - (5/13/2024 Approved)
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Contact information

Main Address
55 Broadway 3rd Floor, New York, NY 10006
Mailing Address
418 Broadway Ste 4332, Albany, NY 12207
Phone number
(212) 287-7727
Established
Firm type
Fiscal year end
# of Employees
1

SEC notice filing (2 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CAVALCADE CAPITAL LLC ADV BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts1
AUM (Assets Under Management)$ 142,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CAVALCADE CAPITAL LLC

CRD#: 327292New York, NY 10006

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