Mike Caffey

CEO & Chief Investment Officer

When I am not at work, you might find me…

Enjoying being outdoors, nature, hiking, skiing, scuba. Spending my Saturdays in the fall with friends at football tailgates. Who doesn’t enjoy a trip to Las Vegas from time to time?

One of the most challenging aspects of my job is …

Keeping emotions out of my decision making processes. The market is similar to the ocean. There will be days of smooth sailing and days with turbulent waves, but as long as I build a good boat (investment strategy) and keep my wits about me, I know I can achieve success.

Some of my best skills on the job

Hearing all the success stories as well as the stumbles that come with operating a business, charity or foundation. Having a fascinating conversation with a client is a lot of fun for a guy who loves to ask “why” as well as “then what happen”. Business stories are like life…they don’t move in a straight line. It’s the zigs and zags that make life and business so interesting.

The person that makes me laugh the most is …

Robin Williams. His rendition on how golf was created was and still is one of the best examples of his comedic genius.

On the very top of my bucket list is …

A month long trip to multiple locations that would include hiking and scuba diving with nightly diners with friends to rehash each days amazing sights and adventures.


Financial / Investment services career has spanned 25 years. I’ve never been a guy to accept things just because “they have always been done like this”. I believe a firm’s investment management should be flexible enough to adapt to new technology and ideology. How can an advisor call themselves a fiduciary if you are not utilizing every possible tool and strategy to bring value to a clients investment portfolio.


Managing Director
Client Advisor
Investment Committee


  • U.S Army, Infantry
  • Certified Private Wealth Advisor (CPWA®)
  • Master of Business Administration (MBA)
  • Bachelor of Business Administration (BBA)
  • Bachelor of Science in Economics (BS)
  • City of Lubbock – Veteran Advisory Committee: Board of Directors Member
  • Betty Condra School for Educational Innovation: Board of Directors Member
  • Big Brothers Big Sisters: Former Board of Director Member