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Investment Adviser Firm Summary

CASCADE FINANCIAL MANAGEMENT, INC. (CRD# 119030 / SEC# 8-53730, 801-64346)
Alternate Names: ADH WEALTH MANAGEMENT , CASCADE FINANCIAL MANAGEMENT, INC. , PEACE OF MIND FINANCIAL LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/26/2005
California Terminated 06/16/2005
Colorado Terminated 06/22/2005
Texas Terminated 09/22/2005

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 02/20/2015
California 12/03/2002
Colorado 05/26/2005
Florida 07/28/2006
Georgia 04/16/2008
Illinois 02/12/2015
Missouri 02/02/2010
Montana 06/17/2010
North Dakota 12/14/2017
Oklahoma 03/30/2017
Oregon 08/20/2008
Texas 05/26/2005
Washington 04/16/2007

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser