CASCADES CAPITAL ASSET MANAGEMENT, LLC
Adviser information for CASCADES CAPITAL ASSET MANAGEMENT, LLC last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | North Carolina, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 665 | $243.8M |
| Non-Discretionary | 13 | $23.9M |
| Total | 678 | $267.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 245 | $46.7M |
| HNW Individuals | 68 | $191.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 14 | $24.8M |
| Charitable organizations | <5 | $524,863 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 5 | $4.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-113166 |
|---|---|
| SEC ERA File Number | 801-113166 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 167102 |
| Legal Entity Identifier | None |
Principal Office
1840 PEMBROKE ROADSUITE 1
GREENSBORO
NC
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 336-404-4746, Fax: 877-762-3148
Websites
Chief Compliance Officer
BARRY LEE CARPENTER
PRINCIPAL
1840 PEMBROKE ROAD
SUITE 1
GREENSBORO
NC
United States
Tel:
336-404-4746
Fax:
877-762-3148
B*********@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CARPENTER, BARRY, LEE | Individual | – | OWNER/PRINCIPAL/CHIEF COMPLIANCE OFFICER | 03/2013 | > 75% |