Cascades Capital Asset Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$340,685,449
Clients
329
Advisors
3
across 2 offices
About
Cascades Capital provides discretionary and non‑discretionary portfolio management and limited financial planning to individuals (including high‑net‑worth clients), as well as trusts, estates, corporations and retirement plans. The firm also offers retirement‑plan consulting and ERISA fiduciary services to plan fiduciaries as part of its client service mix.
Investment decisions are guided by fundamental research and a long‑term orientation, with attention to valuation, financial‑strength metrics, dividend yields and diversification across equities, ETFs, mutual funds and fixed income. The firm may use third‑party separate account managers to implement client Investment Plans, monitors those managers’ approaches and typically favors higher‑quality fixed‑income holdings with shorter maturities to help manage interest‑rate and credit risk.
What is atypical for a firm of this size is that Cascades Capital can permit borrowing (leverage) within separately managed accounts and works with managers who may execute such strategies under discretionary authority, a practice that raises additional leverage and execution considerations. The firm is a small supported advisory team overseeing several hundred clients and relies on institutional custody and trading services while maintaining written policies on aggregation, proxy voting, and constructive custody (including standing letters of authorization for fee debits).
Client services
Expertise
Fee options
Up to 1.00% annually, individually negotiated
Main office
See office1840 Pembroke Road, Suite 1
Greensboro NC 27408
Advisors at this office
2
Offices (2)
Most active in
Florida · Georgia · North Carolina · South Carolina · Texas · Virginia
Also doing business as
Cascades Capital Asset Management · Cascades Capital Asset Management, LLC · Cascades Capital LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Harry W
Series 63, Series 65
Greensboro, NC
Cascades Capital Asset Management, LLC
Harry Wellons is a financial advisor at Cascades Capital Asset Management, LLC in Greensboro, NC, holding Series 63 and Series 65 designations with 24 years of industry experience. He has been with Cascades Capital since 2014. Cascades Capital Asset Management serves individuals, trusts, estates, corporations, and retirement plans, providing portfolio management, limited financial planning, and retirement plan consulting. The firm focuses on fundamental research, long-term equity ownership, and diversified portfolios, with approximately $322 million in assets under management.
Barry C
Series 65, Series 66
Greensboro, NC
Cascades Capital Asset Management, LLC
Barry Carpenter is a financial advisor at Cascades Capital Asset Management, LLC in Greensboro, NC, holding Series 65 and Series 66 credentials with 23 years of industry experience. He has been with Cascades Capital since 2013. Cascades Capital Asset Management serves individuals, trusts, estates, corporations, and retirement plans by providing discretionary and non-discretionary portfolio management, limited financial planning, and retirement plan consulting. The firm emphasizes fundamental research, long-term equity ownership, diversification, and ongoing portfolio monitoring, managing approximately $322 million in assets.
Jack R
Series 63, Series 65, Series 66
Wilmington, NC
Cascades Capital Asset Management, LLC
Jack Richardson Jr. is a financial advisor at Cascades Capital Asset Management, LLC with 37 years of industry experience. He holds Series 63, 65, and 66 licenses and has worked at Cascades since 2018, following five years at LPL Financial. Outside of his advisory role, he has involvement in real estate rental activities. Cascades Capital Asset Management serves individuals, trusts, estates, corporations, and retirement plans, providing portfolio management, limited financial planning, and retirement plan consulting. The firm emphasizes fundamental research, long-term equity ownership, and diversification, with ongoing portfolio monitoring and client-directed trade execution.
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