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CASCADES CAPITAL ASSET MANAGEMENT, LLC

GREENSBORO, NC · CRD 167102 · IAPD ↗ · cascadescapital.com · 336-404-4746

$383.3MRegulatory AUM
3Advisory reps
3Employees
0Clients
26-50Planning clients
0Private funds
6States
2Disclosures
wealthSegment
ApprovedSEC status

Filing changes

61
April 2026 — CASCADES CAPITAL ASSET MANAGEMENT, LLC reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
45
December 2025 — CASCADES CAPITAL ASSET MANAGEMENT, LLC notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2025 — CASCADES CAPITAL ASSET MANAGEMENT, LLC notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2025 — CASCADES CAPITAL ASSET MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 2 (0 -> 2).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
68
April 2025 — CASCADES CAPITAL ASSET MANAGEMENT, LLC now reports custody of client assets ($30.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.