David E Cave

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2016 → 02/2021
  Stifel Nicolaus & Co Inc
  San Francisco, CA
• 05/2021 → 02/2022
  Rbc Capital Markets, Llc
  San Francisco, CA
• 02/2022 → 04/2023
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Francisco, CA
• 06/2023 → Present
  Morgan Stanley
  San Rafael, CA

Previous Registrations

• 2022-03-17 → 2023-04-17
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mill Valley, CA
  San Francisco, CA
• 2021-05-24 → 2022-02-18
  Rbc Capital Markets, Llc
  San Francisco, CA
• 2016-03-23 → 2021-02-19
  Stifel, Nicolaus & Company, Incorporated
  San Francisco, CA
• 2014-12-12 → 2016-01-19
  Ubs Financial Services Inc.
  Walnut Creek, CA
• 2001-08-21 → 2014-12-08
  J.P. Morgan Securities Llc
  San Francisco, CA
  San Francisco, CA
  Seattle, WA

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-08-13
• S63 Uniform Securities Agent State Law Examination
  1988-02-26

Other Names

• David Ernest Cave