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 Partners, LLC
Latest filing Mar 27, 2026
First filing on the tape Apr 26, 2023 · 13 filings
SEC status approved since May 26, 2023
RAUM
$1.4B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$1.4B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$197M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.4B as of Mar 27, 2026
Mar 28, 2024$974M then
HNW client RAUM$1.3B as of Mar 27, 2026
Mar 28, 2024$954M then
State-registered IARs (5.B.3)5 as of Mar 27, 2026
Mar 28, 20244 then
Employees (5.A)9 as of Mar 27, 2026
Mar 28, 20248 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 6 to 5offices 0 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $197MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $167M, 93 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B97%
- Individuals$44.7M3.2%
- Individual clients
- 82reported
- HNW clients
- 201reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,093reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $167M for 93 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Darien Lee HortonCertified Financial Planner | San Diego, Ca | Aug 28, 2023 | 10 y | 2 |
| Brian Peter KrauseCertified Financial Planner | San Diego, Ca | Apr 30, 2024 | 24 y | 4 |
| Natalie Elizabeth DewindtCertified Financial Planner | San Diego, Ca | Apr 30, 2024 | 12 y | 2 |
| Jeffrey Scott Mcculloch | San Diego, Ca | Apr 30, 2024 | 25 y | 4 |
| Caroline Claire Mason | San Diego, Ca | Dec 9, 2024 | 11 y | 0 |
| Lauren Trott GabeleCertified Financial Planner, Chartered Financial Consultant | San Diego, Ca | Apr 28, 2026 | 10 y | 1 |
| Simon Perna | San Diego, Ca | May 8, 2026 | 12 y | 0 |
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
none on the tape
Joined, latest
- Lauren Trott Gabele from MarinerApr 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- Jeffrey Scott Mcculloch from Creative PlanningApr 30, 2024 · RIA to RIA
- Brian Peter Krause from Creative PlanningApr 30, 2024 · RIA to RIA
- Natalie Elizabeth Dewindt from Creative PlanningApr 30, 2024 · RIA to RIA
- Darien Lee Horton from Creative PlanningAug 28, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Creative PlanningAug 28, 2023 · San Diego, Ca
- 2 joined from Creative PlanningAug 28, 2023 · Overland Park, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Peter Brian Krause · Managing Member / Ccocontrolsince 08/2023 · owns 25% to 50%
- Scott Jeffrey Mcculloch · Managing Membercontrolsince 08/2023 · owns 25% to 50%
- Carleen Acosta · Principalsince 08/2023 · owns 5% to 10%
- Elizabeth Natalie Dewindt · Principalsince 08/2023 · owns 10% to 25%
- Lee Darien Horton · Principalsince 08/2023 · owns 10% to 25%
- Y. Monica Suzara · Principalsince 08/2023 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 7 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 27, 2026financial planning (Item 5.G.1): no on the filing of 2025-03-31, yes on the filing of 2026-03-27peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,069 to 1,093Mar 31, 2025 to Mar 27, 2026
- Advisory activities · 2 to 3Mar 31, 2025 to Mar 27, 2026
- HNW clients · 191 to 201Mar 31, 2025 to Mar 27, 2026
- Individual clients · 80 to 82Mar 31, 2025 to Mar 27, 2026
- Assets in custody · $212M to $167MMar 31, 2025 to Mar 27, 2026
- Employees · 8 to 9Mar 31, 2025 to Mar 27, 2026
- Financial planning clients · to 51-100Mar 31, 2025 to Mar 27, 2026
- State-registered IARs · 6 to 5Mar 31, 2025 to Mar 27, 2026
- Other offices · 0 to 1Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.1B to $1.4BMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $1.1B to $1.3BMar 31, 2025 to Mar 27, 2026
- Individual RAUM · $25.1M to $44.7MMar 31, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $27.5M to $30.5MMar 31, 2025 to Mar 27, 2026
- RAUM · $1.2B to $1.4BMar 31, 2025 to Mar 27, 2026
- Accounts · 1,000 to 1,069Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 4 to 6Mar 28, 2024 to Mar 31, 2025
- HNW clients · 161 to 191Mar 28, 2024 to Mar 31, 2025
- Individual clients · 50 to 80Mar 28, 2024 to Mar 31, 2025
- Assets in custody · unset to 211917802.0Mar 28, 2024 to Mar 31, 2025
- Custody of client assets · false to trueMar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- State-registered IARs · 4 to 6Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $951M to $1.1BMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $954M to $1.1BMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $19.6M to $25.1MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $22.6M to $27.5MMar 28, 2024 to Mar 31, 2025
- RAUM · $974M to $1.2BMar 28, 2024 to Mar 31, 2025
- Accounts · 669 to 1,000Oct 27, 2023 to Mar 28, 2024
- Advisory activities · 1 to 2Oct 27, 2023 to Mar 28, 2024
- HNW clients · 181 to 161Oct 27, 2023 to Mar 28, 2024
- Individual clients · unset to 50.0Oct 27, 2023 to Mar 28, 2024
- Employees · 6 to 8Oct 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $737M to $951MOct 27, 2023 to Mar 28, 2024
- HNW RAUM · $755M to $954MOct 27, 2023 to Mar 28, 2024
- Individual RAUM · unset to 19629838.0Oct 27, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $17.9M to $22.6MOct 27, 2023 to Mar 28, 2024
- RAUM · $755M to $974MOct 27, 2023 to Mar 28, 2024
- Accounts · 0 to 669Sep 29, 2023 to Oct 27, 2023
- HNW clients · unset to 181.0Sep 29, 2023 to Oct 27, 2023
- Discretionary RAUM · $0 to $737MSep 29, 2023 to Oct 27, 2023
Signals
8 dated events
- Cascade Financial Partners, Llc reported RAUM $973.9M, up 29% from $755.1M (2023-10-27 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- 2 advisors left Creative Planning (San Diego, CA) for Cascade Financial Partners, LLC on the same dayAug 28, 2023 · Team lift-out · derived
- 2 advisors left Creative Planning (Overland Park, KS) for Cascade Financial Partners, LLC on the same dayAug 28, 2023 · Team lift-out · derived
- Peter Brian Krause (Managing Member / Cco) appeared on Schedule A of Cascade Financial Partners, LlcAug 25, 2023 · Control person joined · fact
- Scott Jeffrey Mcculloch (Managing Member) appeared on Schedule A of Cascade Financial Partners, LlcAug 25, 2023 · Control person joined · fact
- Marie Shauna Krause (Managing Principal / Cco) no longer on Schedule A of Cascade Financial Partners, Llc (listed 2023-08-10, absent 2023-08-25)Aug 25, 2023 · Control person left · inference
- Marie Shauna Krause (Managing Principal / Cco) appeared on Schedule A of Cascade Financial Partners, LlcAug 10, 2023 · Control person joined · fact
- Ampoak Llc filed its initial SEC registration (Form ADV)Apr 26, 2023 · 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 email
- welcome@cascadefinancialpartners.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 858-379-6701reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/cascade-financial-partners-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- cascadefinancialpartners.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 858-379-6701reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- cascadefinancialpartners.com/contactreportedpublished 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
- $197Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026