{
  "crd_number": 167102,
  "slug": "cascades-capital-asset-management-llc-greensboro-nc-167102",
  "primary_business_name": "CASCADES CAPITAL ASSET MANAGEMENT, LLC",
  "legal_name": "CASCADES CAPITAL ASSET MANAGEMENT, LLC",
  "dbas": [],
  "city": "Greensboro",
  "state": "NC",
  "country": "United States",
  "cbsa_code": "24660",
  "metro": {
    "cbsa_code": "24660",
    "common_name": "Greensboro",
    "msa_name": "Greensboro-High Point, NC",
    "path": "/advisors/nc/greensboro"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2018-05-07",
  "years_registered": 8,
  "period": "2026-10-01",
  "filing_date": "2026-03-26",
  "carried_forward": false,
  "raum_total": 383331712.0,
  "raum_discretionary": 346297718.0,
  "raum_non_discretionary": 37033994.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 3,
  "advisory_employees": 3,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 1064895.0,
      "count": 6
    },
    "individuals": {
      "raum": 64094938.0,
      "count": 245
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 37033994.0,
      "count": 15
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 276590511.0,
      "count": 84
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 4547374.0,
      "count": 8
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "FL",
    "GA",
    "NC",
    "SC",
    "TX",
    "VA"
  ],
  "websites": [
    "https://cascadescapital.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/167102",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(3)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    }
  ],
  "city_as_filed": "GREENSBORO",
  "url": "https://advisorcensus.com/firm/cascades-capital-asset-management-llc-greensboro-nc-167102",
  "display_name": "Cascades Capital Asset Management, LLC",
  "summary": "Cascades Capital Asset Management, LLC is an SEC-registered investment advisory firm in Greensboro, NC, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 26, 2026.",
  "citation": "AdvisorCensus. Cascades Capital Asset Management, LLC (CRD 167102): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Cascades Capital Asset Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Cascades Capital Asset Management, LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does Cascades Capital Asset Management, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 26, 2026 states: Asset-based fee: up to 1% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Cascades Capital Asset Management, LLC located?",
      "a": "Cascades Capital Asset Management, LLC's principal office is in Greensboro, NC, according to its Form ADV."
    },
    {
      "q": "Is Cascades Capital Asset Management, LLC registered with the SEC or a state?",
      "a": "Cascades Capital Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 167102."
    },
    {
      "q": "How much does Cascades Capital Asset Management, LLC manage?",
      "a": "Cascades Capital Asset Management, LLC reports $383,331,712 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (90% discretionary)."
    },
    {
      "q": "How have Cascades Capital Asset Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Cascades Capital Asset Management, LLC: Regulatory assets under management: $190,556,738 in the October 2021 data and $383,331,712 in the October 2026 data, up 101%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Cascades Capital Asset Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (245); high net worth individuals (84); pension and profit sharing plans (but not the plan participants or government pension plans) (15)."
    },
    {
      "q": "Which custodians does Cascades Capital Asset Management, LLC use?",
      "a": "Cascades Capital Asset Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Cascades Capital Asset Management, LLC report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/167102"
    },
    {
      "q": "Does Cascades Capital Asset Management, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 26, 2026 says: \"We do not generally impose a minimum portfolio value for conventional investment advisory services or a minimum fee.\""
    },
    {
      "q": "What changed in Cascades Capital Asset Management, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $321,951,547 to $383,331,712 (+19%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 190556738.0,
      "total_employees": 3,
      "filing_date": "2021-03-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 214828880.0,
      "total_employees": 3,
      "filing_date": "2022-07-13"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 218643303.0,
      "total_employees": 3,
      "filing_date": "2023-03-20"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 267692426.0,
      "total_employees": 3,
      "filing_date": "2024-03-25"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 321951547.0,
      "total_employees": 3,
      "filing_date": "2025-03-18"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 383331712.0,
      "total_employees": 3,
      "filing_date": "2026-03-26"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $321,951,547 to $383,331,712 (+19%)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Registered or notice-filed in TX."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 26, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": "1% of assets a year",
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": "None",
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: up to 1% of assets a year (the maximum the brochure states)"
        ],
        "quotes": [
          "Portfolio management fees are individually negotiated and range up to 1.00% annually, based on a percentage of assets under management."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "We do not generally impose a minimum portfolio value for conventional investment advisory services or a minimum fee."
        ]
      },
      {
        "label": "Minimum annual fee",
        "statements": [
          "Minimum annual fee: None"
        ],
        "quotes": [
          "We do not generally impose a minimum portfolio value for conventional investment advisory services or a minimum fee."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": 1.0,
      "account_minimum": 0.0,
      "minimum_annual_fee": 0.0,
      "planning": []
    },
    "quotes": [
      "Portfolio management fees are individually negotiated and range up to 1.00% annually, based on a percentage of assets under management.",
      "We do not generally impose a minimum portfolio value for conventional investment advisory services or a minimum fee.",
      "We do not generally impose a minimum portfolio value for conventional investment advisory services or a minimum fee."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/cascades-capital-asset-management-llc-greensboro-nc-167102.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 245,
      "fewer_than_5": false,
      "raum": 64094938.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 84,
      "fewer_than_5": false,
      "raum": 276590511.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 15,
      "fewer_than_5": false,
      "raum": 37033994.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 6,
      "fewer_than_5": false,
      "raum": 1064895.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 8,
      "fewer_than_5": false,
      "raum": 4547374.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/167102",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}