DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Cascade Financial Strategies
Legal name Cascade Financial Strategies, LLC
Latest filing Mar 20, 2026
First filing on the tape Mar 14, 2025 · 2 filings
SEC status approved since Apr 14, 2025
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$149M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$50.3M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$151M as of Mar 20, 2026
Mar 14, 2025$120M then
HNW client RAUM$80.0M as of Mar 20, 2026
Mar 14, 2025$77.6M then
State-registered IARs (5.B.3)3 as of Mar 20, 2026
Mar 14, 20252 then
Employees (5.A)5 as of Mar 20, 2026
Mar 14, 20252 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $50.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $249,382derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$80.0M53%
- Individuals$69.3M46%
- Charitable organizations$1.6M1.1%
- Individual clients
- 267reported
- HNW clients
- 40reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 605reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Marc Allan Eppinger | Bend, Or | Jun 6, 2023 | 10 y | 3 |
| John Anderson SchnieppCertified Financial Planner, Chartered Financial Consultant | Bend, Or | Jun 14, 2024 | 23 y | 5 |
| Katie Marie Martin Hewitt | Bend, Or | Dec 2, 2025 | 13 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Neal Albert Richards to Axiom Wealth Strategies, LLCDec 31, 2021 · RIA to RIA
Joined, latest
- Katie Marie Martin Hewitt from The H Group, Inc.Dec 2, 2025 · RIA to RIA
- John Anderson Schniepp from LPL Financial LLCJun 14, 2024 · Other
- Marc Allan Eppinger from Empower Advisory Group, LLCJun 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- Neal Albert Richards from Wells Fargo AdvisorsApr 21, 2017 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Anderson John Schniepp · Owner/Chief Compliance Officercontrolsince 01/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bend, Or · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 469 to 605Mar 14, 2025 to Mar 20, 2026
- Advisory employees · 2 to 3Mar 14, 2025 to Mar 20, 2026
- Advisory activities · 4 to 6Mar 14, 2025 to Mar 20, 2026
- Charity clients · 1 to 2Mar 14, 2025 to Mar 20, 2026
- HNW clients · 32 to 40Mar 14, 2025 to Mar 20, 2026
- Individual clients · 296 to 267Mar 14, 2025 to Mar 20, 2026
- Employees · 2 to 5Mar 14, 2025 to Mar 20, 2026
- Financial planning clients · 1-10 to 11-25Mar 14, 2025 to Mar 20, 2026
- State-registered IARs · 2 to 3Mar 14, 2025 to Mar 20, 2026
- Discretionary RAUM · $120M to $150MMar 14, 2025 to Mar 20, 2026
- HNW RAUM · $77.6M to $80.0MMar 14, 2025 to Mar 20, 2026
- Individual RAUM · $41.2M to $69.3MMar 14, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $857,223 to $605,000Mar 14, 2025 to Mar 20, 2026
- RAUM · $120M to $151MMar 14, 2025 to Mar 20, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/cascade-financial-strategies/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- cascadefs.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 541-678-5475reportedpublic record, Form ADV, Mar 20, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $50.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026