# Cascades Capital Asset Management, LLC

> 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.

- CRD: 167102
- Filed as: CASCADES CAPITAL ASSET MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Greensboro, NC
- Filing period: October 2026
- Form ADV filing dated: March 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/167102
- AdvisorCensus page: https://advisorcensus.com/firm/cascades-capital-asset-management-llc-greensboro-nc-167102

## Quick answers

**How is Cascades Capital Asset Management, LLC compensated?**
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.

**What does Cascades Capital Asset Management, LLC's brochure say about its fees?**
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.

**Where is Cascades Capital Asset Management, LLC located?**
Cascades Capital Asset Management, LLC's principal office is in Greensboro, NC, according to its Form ADV.

**Is Cascades Capital Asset Management, LLC registered with the SEC or a state?**
Cascades Capital Asset Management, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 167102.

**How much does Cascades Capital Asset Management, LLC manage?**
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).

**How have Cascades Capital Asset Management, LLC's assets and staff changed since 2021?**
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.

**What types of clients does Cascades Capital Asset Management, LLC serve?**
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).

**Which custodians does Cascades Capital Asset Management, LLC use?**
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.

**Does Cascades Capital Asset Management, LLC report any disciplinary disclosures?**
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

**Does Cascades Capital Asset Management, LLC state an account minimum?**
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."

**What changed in Cascades Capital Asset Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $321,951,547 to $383,331,712 (+19%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 26, 2026)

- Asset-based fee: up to 1% of assets a year (the maximum the brochure states)

> Portfolio management fees are individually negotiated and range up to 1.00% annually, based on a percentage of assets under management.

- Account minimum: None

> We do not generally impose a minimum portfolio value for conventional investment advisory services or a minimum fee.

- Minimum annual fee: None

> We do not generally impose a minimum portfolio value for conventional investment advisory services or a minimum fee.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $383,331,712
- Discretionary: $346,297,718
- Non-discretionary: $37,033,994

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 245 | $64,094,938 |
| High net worth individuals | 84 | $276,590,511 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 15 | $37,033,994 |
| Charitable organizations | 6 | $1,064,895 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 8 | $4,547,374 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2018 (8 years)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, GA, NC, SC, TX, VA
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): 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?
- 11.D(3): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/167102

### Websites listed on Form ADV (Item 1.I)
- cascadescapital.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $190,556,738 | 3 | March 29, 2021 |
| October 2022 | $214,828,880 | 3 | July 13, 2022 |
| October 2023 | $218,643,303 | 3 | March 20, 2023 |
| October 2024 | $267,692,426 | 3 | March 25, 2024 |
| October 2025 | $321,951,547 | 3 | March 18, 2025 |
| October 2026 | $383,331,712 | 3 | March 26, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $321,951,547 to $383,331,712 (+19%).

### December 2025
- Registered or notice-filed in TX.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Cascades Capital Asset Management, LLC (CRD 167102): Form ADV filing data as of October 2026.