CASCADE INVESTMENT GROUP, INC. of COLORADO SPRINGS, CO is an SEC-registered investment adviser (CRD 35844). Regulatory assets under management: $419.9M.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Robert Gold Wrubel | PRESIDENT/MANAGING DIRECTOR | — |
| Gregory Justin Weed | MAJORITY TRUSTEE | — |
| Scott Alexander Rethi | CHIEF COMPLIANCE OFFICER | — |
| Dana Marie Capozzella | CHIEF COMPLIANCE OFFICER | — |
| TURNER DAVID JOHN | SHAREHOLDER | — |
| BAGLEY MYRON TIPTON | BOARD CHAIRMAN | — |
| LUNDQUIST JUDITH ANN | SHAREHOLDER | — |
| BEACH KENNETH MICHAEL | MANAGING DIRECTOR; PRESIDENT; SECRETARY/TREASURER (+1 more) | — |
| RALSTON CRAIG STANLEY | DIRECTOR/OPTIONS PRINCIPAL; OWNER; PRESIDENT (+1 more) | — |
| CAPOZZELLA DANA MARIE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/SECRETARY; OPERATIONS MANAGER (+3 more) | — |
| RODEMER STEVEN DALE | SHAREHOLDER | — |
| WEILAND JANICE MARGARET | OWNER | — |
| WRUBEL ROBERT GOLD | OWNER; PRESIDENT/MANAGING DIRECTOR | — |
| WEED GREGORY JUSTIN | MAJORITY TRUSTEE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-12-04 | regulatory | BREACH OF FIDUCIARY DUTY AND DUTY TO SEEK BEST EXECUTION IN CONNECTION WITH SHARE CLASS SELECTION PRACTICES. CASCADE RECOMMENDED POSITIONS CHARGING 12B-1 FEES INSTEAD OF THE LOWER COST SHARE CLASSES OF THE SAME FUNDS THAT WERE AVAILABLE TO CLIENTS. THE FIRM AND ITS REPRESENTATIVES RECEIVED THESE 12B… | Final | $125K |
| 1996-10-01 | regulatory | CASCADE INVESTMENT GROUP, INC. (FORMERLY BJR & ASSOCIATES, INC.) VIOLATED THE NET CAPITAL REQUIREMENT. | Final | $3K |