We provide our clients with the guidance and support that will allow them to use their financial resources to realize their unique personal and family goals.
Client Bill of Rights
As a client of Cascade Wealth Management, LLC, you have the right to:
- Receive information about the firm’s principals and their professional background and about Cascade Wealth Management (CWM). This information is provided in the firm’s Disclosure Brochure. You may download a copy for your reference. State law requires that you receive this document prior to entering an investment advisory contract with CWM.
- Contact the State of Oregon to verify employment and discipline
history of the firm’s principals and Cascade Wealth Management,
LLC. The web sites are:
cbs.state.or.us/dfcs/index.html
cbs.state.or.us/ins/index.html - Receive recommendations consistent with your financial needs, circumstances, preferences and objectives.
- Understand the terms and conditions of any agreement you enter and/or transaction you undertake.
- Receive complete information about the performance, obligations, risks and expenses associated with any investment recommended by CWM before investing.
- Receive a copy of all documents (agreements, contracts, applications, etc) which contain your personal information and/or signature.
- Receive information about your accounts (in hard copy, via the web and over the phone) that is accurate and easily understood.
- Receive complete and transparent information about fees charged by CWM and its affiliates.
- Access your funds in a timely manner without surrender charges, exit fees or other transaction costs.
- Receive a prompt, appropriate and fair response to your questions and concerns within 2 business days. (The firm will notify you if he will be unavailable for periods that are longer than 2 business days.)
- To decline to implement any recommendation or advice rendered by CWM. In this event, depending on the circumstances, CWM may resign as your investment advisor.
- To be treated with respect, courtesy and appreciation at all times.
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