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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CASSADY WEALTH & RETIREMENT PLANNING L.L.C.

CRD 309710

HENDERSON, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ebe1c141-4d14-96b2-3345-3a3aece48eb9

Data as of Jul 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Feb 23, 2024 to Jul 10, 2026
11 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0
Regulatory AUM: $292MItem 5.F on the latest filing (2026-07-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $249M
Private client RAUM: $292MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $58.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 685
Individual clients: 380
High net worth clients: 75
SEC number: 801-129764
CIK: 2121075
CRD: 309710
Filings on the tape: 11
First filed: Feb 23, 2024
Latest filed: Jul 10, 2026
Organised: Limited Liability Company, NV
Website: cassadywealth.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JASEN EUGENE CASSADY	Certified Financial Planner	Las Vegas, NV \| Henderson, NV	5	23	1	yes
Jason Allen Waugh	Certified Financial Planner	Las Vegas, NV \| Henderson, NV	5	13	n/a	yes
Sean Yijung Yao	n/a	Las Vegas, NV \| Henderson, NV	5	21	n/a	yes
Parker Brian Schmidt	n/a	HENDERSON, NV	1	13	n/a	yes
Julie Rose Malonzo	n/a	HENDERSON, NV	1	12	2	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CASSADY, JASEN, EUGENE	MANAGING MEMBER/INVESTMENT ADVISOR REPRESENTATIVE	D	yes	05/2019	Feb 23, 2024	Dec 10, 2024
Waugh, Jason, Allen	CHIEF COMPLIANCE OFFICER	Na	yes	10/2022	Feb 23, 2024	Dec 10, 2024
YAO, SEAN, YIJUNG	MANAGING MEMBER	D	yes	05/2023	Feb 23, 2024	Dec 10, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
GRADIENT SECURITIES, LLC	n/a	n/a	n/a	N	no	n/a
JASEN CASSADY	n/a	n/a	n/a	N	yes	n/a
JASON WAUGH	n/a	n/a	n/a	N	yes	n/a
SEAN YAO	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
LAS VEGAS	Nv	United States	4	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 2 of 3

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 16, 2026	$243M	$201M	5	5	1	n/a	n/a
2024	Mar 27, 2025	$156M	$120M	6	6	1	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$292M	$156M	87.5%	n/a	n/a	5	6	1	1

Relationships

Registered with (5)

← Julie Rose MalonzoAdvisorregistration: current employment
Nov 8, 2024 to presentfactForm ADV
← Parker Brian SchmidtAdvisorregistration: current employment
Oct 17, 2024 to presentfactForm ADV
← Sean Yijung YaoAdvisorregistration: current employment
Jan 11, 2021 to presentfactForm ADV
← Jason Allen WaughAdvisorregistration: current employment
Dec 1, 2020 to presentfactForm ADV
← JASEN EUGENE CASSADYAdvisorregistration: current employment
Nov 20, 2020 to presentfactForm ADV

Controls (3)

← CASSADY, JASEN, EUGENEOwnerMANAGING MEMBER/INVESTMENT ADVISOR REPRESENTATIVE, ownership code D, individual
Feb 23, 2024 to Dec 10, 2024factForm ADV
← YAO, SEAN, YIJUNGOwnerMANAGING MEMBER, ownership code D, individual
Feb 23, 2024 to Dec 10, 2024factForm ADV
← Waugh, Jason, AllenOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 23, 2024 to Dec 10, 2024factForm ADV

Dated events

Occurred
Feb 23, 2024
First Form ADV filing
Cassady Wealth & Retirement Planning L.L.C. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ebe1c141-4d14-96b2-3345-3a3aece48eb9
First observed: Feb 23, 2024
Last observed: Jul 10, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CASSADY WEALTH & RETIREMENT PLANNING L.L.C.

CRD 309710

HENDERSON, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ebe1c141-4d14-96b2-3345-3a3aece48eb9

Data as of Jul 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:55 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JASEN EUGENE CASSADY

Certified Financial Planner

Las Vegas, NV | Henderson, NV

yes

Jason Allen Waugh

Certified Financial Planner

Las Vegas, NV | Henderson, NV

n/a

yes

Sean Yijung Yao

n/a

Las Vegas, NV | Henderson, NV

n/a

yes

Parker Brian Schmidt

n/a

HENDERSON, NV

n/a

yes

Julie Rose Malonzo

n/a

HENDERSON, NV

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CASSADY, JASEN, EUGENE

MANAGING MEMBER/INVESTMENT ADVISOR REPRESENTATIVE

yes

05/2019

Feb 23, 2024

Dec 10, 2024

Waugh, Jason, Allen

CHIEF COMPLIANCE OFFICER

yes

10/2022

Feb 23, 2024

Dec 10, 2024

YAO, SEAN, YIJUNG

MANAGING MEMBER

yes

05/2023

Feb 23, 2024

Dec 10, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GRADIENT SECURITIES, LLC

n/a

JASEN CASSADY

n/a

yes

n/a

JASON WAUGH

n/a

yes

n/a

SEAN YAO

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

LAS VEGAS

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 16, 2026

$243M

$201M

n/a

2024

Mar 27, 2025

$156M

$120M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$292M

$156M

87.5%

n/a