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
Cassady Wealth & Retirement Planning L.L.C.
Latest filing Jul 10, 2026
First filing on the tape Feb 23, 2024 · 11 filings
SEC status approved since Mar 25, 2024
RAUM
$292M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
100%
$292M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$58.4M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$292M as of Jul 10, 2026
Feb 11, 2025$156M then
HNW client RAUM$117M as of Jul 10, 2026
Feb 11, 2025$71.6M then
State-registered IARs (5.B.3)5 as of Jul 10, 2026
Feb 11, 20256 then
Employees (5.A)5 as of Jul 10, 2026
Feb 11, 20256 then
Private funds: no history
RAUM +88% over the last fiscal yearIARs 6 to 5
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $58.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $426,400derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +56%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +70%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$176M60%
- High-net-worth individuals$117M40%
- Individual clients
- 380reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 685reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jasen Eugene CassadyCertified Financial Planner | Las Vegas, Nv | Nov 20, 2020 | 23 y | 1 |
| Jason Allen WaughCertified Financial Planner | Las Vegas, Nv | Dec 1, 2020 | 13 y | 0 |
| Sean Yijung Yao | Las Vegas, Nv | Jan 11, 2021 | 21 y | 0 |
| Parker Brian Schmidt | Henderson, Nv | Oct 17, 2024 | 13 y | 0 |
| Julie Rose Malonzo | Henderson, Nv | Nov 8, 2024 | 12 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Julie Rose Malonzo from LPL Financial LLCNov 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- Jasen Eugene Cassady from Cassady Wealth Management LLCNov 20, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Eugene Jasen Cassady · Managing Member/Investment Advisor Representativecontrolsince 05/2019 · owns 50% to 75%
- Allen Jason Waugh · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
- Yijung Sean Yao · Managing Membercontrolsince 05/2023 · owns 50% to 75%
Related persons
Schedule D 7.A
- Gradient Securities, LLCbroker-dealern
- Jasen Cassadyn
- Jason Waughn
- Sean Yaon
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Henderson, Nv · principal | 5 | 0 | 0 | ||
| Las Vegas, Nv | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Las Vegas, NV4 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 16, 2026accounts (Item 5.F.2.f) moved from 346.0 to 576.0 (+66.0%) between the annual amendments of 2025-03-27 and 2026-03-16; the peer median change was +5.0% (3688 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 97% percentile
- client count surgeChange between filings · filing Mar 16, 2026individual and HNW clients (Item 5.D) moved from 230.0 to 392.0 (+70.0%) between the annual amendments of 2025-03-27 and 2026-03-16; the peer median change was +3.0% (3310 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 98% percentile
- RAUM up 50 %Change between filings · filing Mar 16, 2026RAUM (Item 5.F) moved from $155,768,876 to $242,737,000 (+56.0%) between the annual amendments of 2025-03-27 and 2026-03-16; the peer median change was +15.0% (4551 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 576 to 685Mar 16, 2026 to May 18, 2026
- HNW clients · 72 to 75Mar 16, 2026 to May 18, 2026
- Individual clients · 320 to 380Mar 16, 2026 to May 18, 2026
- Discretionary RAUM · $201M to $249MMar 16, 2026 to May 18, 2026
- HNW RAUM · $102M to $117MMar 16, 2026 to May 18, 2026
- Individual RAUM · $141M to $176MMar 16, 2026 to May 18, 2026
- Non-discretionary RAUM · $41.2M to $43.2MMar 16, 2026 to May 18, 2026
- RAUM · $243M to $292MMar 16, 2026 to May 18, 2026
- Accounts · 346 to 576Jun 30, 2025 to Mar 16, 2026
- HNW clients · 51 to 72Jun 30, 2025 to Mar 16, 2026
- Individual clients · 179 to 320Jun 30, 2025 to Mar 16, 2026
- Discretionary RAUM · $120M to $201MJun 30, 2025 to Mar 16, 2026
- HNW RAUM · $71.6M to $102MJun 30, 2025 to Mar 16, 2026
- Individual RAUM · $84.1M to $141MJun 30, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $35.4M to $41.2MJun 30, 2025 to Mar 16, 2026
- RAUM · $156M to $243MJun 30, 2025 to Mar 16, 2026
- Advisory employees · 6 to 5Mar 27, 2025 to Jun 30, 2025
- BD registered reps · 6 to 5Mar 27, 2025 to Jun 30, 2025
- Employees · 6 to 5Mar 27, 2025 to Jun 30, 2025
- Financial planning clients · 1-10 to 1-10Mar 27, 2025 to Jun 30, 2025
- State-registered IARs · 6 to 5Mar 27, 2025 to Jun 30, 2025
- Advisory activities · 3 to 4Feb 11, 2025 to Mar 27, 2025
- Accounts · 314 to 346Dec 10, 2024 to Feb 11, 2025
- HNW clients · 53 to 51Dec 10, 2024 to Feb 11, 2025
- Individual clients · 164 to 179Dec 10, 2024 to Feb 11, 2025
- Discretionary RAUM · $75.9M to $120MDec 10, 2024 to Feb 11, 2025
- HNW RAUM · $67.3M to $71.6MDec 10, 2024 to Feb 11, 2025
- Individual RAUM · $73.2M to $84.1MDec 10, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $64.6M to $35.4MDec 10, 2024 to Feb 11, 2025
- RAUM · $140M to $156MDec 10, 2024 to Feb 11, 2025
- Advisory employees · 5 to 6Oct 17, 2024 to Nov 7, 2024
- BD registered reps · 5 to 6Oct 17, 2024 to Nov 7, 2024
- Employees · 5 to 6Oct 17, 2024 to Nov 7, 2024
- State-registered IARs · 5 to 6Oct 17, 2024 to Nov 7, 2024
- Advisory employees · 4 to 5Oct 16, 2024 to Oct 17, 2024
- BD registered reps · 4 to 5Oct 16, 2024 to Oct 17, 2024
- Employees · 4 to 5Oct 16, 2024 to Oct 17, 2024
- State-registered IARs · 4 to 5Oct 16, 2024 to Oct 17, 2024
- Accounts · 236 to 314Feb 23, 2024 to Oct 16, 2024
- HNW clients · 54 to 53Feb 23, 2024 to Oct 16, 2024
Signals
1 dated events
- Cassady Wealth & Retirement Planning L.L.C. filed its initial SEC registration (Form ADV)Feb 23, 2024 · First SEC registration · fact
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
- Business phone
- 702-272-2711reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 702-650-4480reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 702-650-5561reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- cassadywealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 702-650-4480reportedpublic record, Form ADV, Jul 10, 2026
- Contact form
- cassadywealth.com/contact/index.htmlreportedpublished by the firm, firm site, Sep 15, 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
- $58.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026