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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

CASCADE FINANCIAL MANAGEMENT, INC.

CRD 119030

DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d1a2b3e8-c482-12b1-3b8f-3e59d96be227

Data as of Jul 1, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Jul 1, 2020
27 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $337MItem 5.F on the latest filing (2020-07-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $337M
Private client RAUM: $334MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18
Advisory employees: 13
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 1,138
Individual clients: 419
High net worth clients: 97
SEC number: 801-64346
CRD: 119030
Filings on the tape: 27
First filed: Mar 29, 2012
Latest filed: Jul 1, 2020
Organised: Corporation, Colorado

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
TURNER, DAVID JOHN	CEO/ROSFP/DIRECTOR	C	yes	05/2001	Mar 29, 2012	Jul 1, 2020
VANSANT, JOHN JOSEPH	FINOP/PRESIDENT	A	yes	01/2008	Mar 29, 2012	Jul 1, 2020
ERICKSON, PATRICIA ANN	REGISTERED REPRESENTATIVE	B	no	04/2004	Mar 29, 2012	Jul 1, 2020
KENKEL, TIMOTHY JAMES	CHIEF COMPLIANCE OFFICER	Na	no	03/2013	Feb 12, 2014	Jul 1, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CASCADE FINANCIAL MANAGEMENT, INC.	n/a	Former SEC adviser	$337M	Y	yes	n/a
HOLMES & TURNER FINANCIAL SERVICES, INC.	n/a	Former SEC adviser	$73.8M	Y	yes	n/a
HOLMES & TURNER FINANCIAL SERVICES, INC.	n/a	Former SEC adviser	$73.8M	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Boulder	Co	United States	2	yes
Frisco	TX	United States	2	no
Tampa	FL	United States	1	yes
Springfield	Mo	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Apr 2, 2020	$337M	$337M	18	13	4	n/a	n/a
2018	Mar 28, 2019	$276M	$276M	15	12	4	n/a	n/a
2017	Mar 26, 2018	$258M	$258M	19	14	5	n/a	n/a
2016	Mar 30, 2017	$210M	$201M	12	11	n/a	n/a	n/a
2015	Mar 29, 2016	$226M	$197M	12	11	n/a	n/a	n/a
2014	Mar 31, 2015	$223M	$193M	14	11	n/a	n/a	n/a
2013	Mar 31, 2014	$178M	$151M	13	13	n/a	n/a	n/a
2012	Mar 27, 2013	$154M	$133M	13	13	n/a	n/a	n/a
2011	Mar 29, 2012	$130M	$112M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$337M	$276M	22.0%	$210M	17.1%	18	15	4	4

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
APOLLON WEALTH MANAGEMENT, LLC	3	Feb 12, 2021	Jan 1, 2025	DENVER, CO	Team lift out	RIA to RIA	33.3%

Relationships

Affiliated with (2)

→ HOLMES & TURNER FINANCIAL SERVICES, INC.Registered adviserother investment adviser, control, common control
factForm ADV
→ CASCADE FINANCIAL MANAGEMENT, INC.Registered adviserother investment adviser, control, common control
factForm ADV

Owns (2)

← ERICKSON, PATRICIA ANNOwnerREGISTERED REPRESENTATIVE, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← KENKEL, TIMOTHY JAMESOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 12, 2014 to presentfactForm ADV

Controls (2)

← TURNER, DAVID JOHNOwnerCEO/ROSFP/DIRECTOR, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← VANSANT, JOHN JOSEPHOwnerFINOP/PRESIDENT, ownership code A, individual
Mar 29, 2012 to presentfactForm ADV

Moved with (1)

→ APOLLON WEALTH MANAGEMENT, LLCRegistered adviser3 advisors, team lift out, same day
Feb 12, 2021 to Jan 1, 2025factForm ADV

Registered with (21)

← RICHARD H CHINAdvisorregistration: previous registration
Nov 17, 2004 to Mar 31, 2021factForm ADV
← MEREDITH PAYNE HOLTONAdvisorregistration: previous registration
Feb 1, 2021 to Mar 31, 2021factForm ADV
← JOHN JOSEPH VANSANTAdvisorregistration: previous registration
Dec 19, 2017 to Feb 19, 2021factForm ADV
← DANIEL AARON SCOTTAdvisorregistration: previous registration
Feb 2, 2010 to Feb 12, 2021factForm ADV
← DAVID JOHN TURNERAdvisorregistration: previous registration
Apr 11, 2002 to Feb 12, 2021factForm ADV
← CYNTHIA PAYNE OchalAdvisorregistration: previous registration
Jul 28, 2006 to Feb 12, 2021factForm ADV
← ALAN DAVID HOLMANAdvisorregistration: previous registration
Dec 6, 2011 to Feb 12, 2021factForm ADV
← Dana GreathouseAdvisorregistration: previous registration
May 30, 2019 to Feb 12, 2021factForm ADV
← JACOB JEFFREY WALKERAdvisorregistration: previous registration
Jul 30, 2019 to Feb 12, 2021factForm ADV
← TIMOTHY JAMES KENKELAdvisorregistration: previous registration
Feb 24, 2012 to Jan 8, 2021factForm ADV
← NICKI LOUISE GREENAdvisorregistration: previous registration
Apr 27, 2017 to Mar 5, 2020factForm ADV
← Mackenzie Karner BekezaAdvisorregistration: previous registration
Mar 9, 2017 to May 23, 2019factForm ADV
← MICHAEL JOHN MCCORMICKAdvisorregistration: previous registration
Jun 27, 2011 to Jun 19, 2017factForm ADV
← BRIAN JAMES WILEYAdvisorregistration: previous registration
Aug 24, 2011 to Dec 10, 2015factForm ADV
← STEPHANIE BRUNOAdvisorregistration: previous registration
Dec 2, 2008 to Apr 16, 2012factForm ADV
← JOHN DOUGLAS CLAGETTAdvisorregistration: previous registration
Dec 9, 2002 to Nov 6, 2009factForm ADV
← STEVEN ROBERT COWLEYAdvisorregistration: previous registration
May 19, 2004 to Apr 17, 2008factForm ADV
← PATRICK JOSEPH BOWENAdvisorregistration: previous registration
Sep 7, 2004 to Oct 28, 2005factForm ADV
← DONALD HUGH MCDONALDAdvisorregistration: previous registration
Sep 16, 2004 to Oct 28, 2005factForm ADV
← BRUCE GROSVENOR ALLENAdvisorregistration: previous registration
Apr 11, 2002 to Aug 31, 2004factForm ADV
← JOHN EDWARD KRIVACSAdvisorregistration: previous registration
Apr 11, 2002 to Aug 2, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d1a2b3e8-c482-12b1-3b8f-3e59d96be227
First observed: Mar 29, 2012
Last observed: Jul 1, 2020 75 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CASCADE FINANCIAL MANAGEMENT, INC.

CRD 119030

DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d1a2b3e8-c482-12b1-3b8f-3e59d96be227

Data as of Jul 1, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:39 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

TURNER, DAVID JOHN

CEO/ROSFP/DIRECTOR

yes

05/2001

Mar 29, 2012

Jul 1, 2020

VANSANT, JOHN JOSEPH

FINOP/PRESIDENT

yes

01/2008

Mar 29, 2012

Jul 1, 2020

ERICKSON, PATRICIA ANN

REGISTERED REPRESENTATIVE

04/2004

Mar 29, 2012

Jul 1, 2020

KENKEL, TIMOTHY JAMES

CHIEF COMPLIANCE OFFICER

03/2013

Feb 12, 2014

Jul 1, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CASCADE FINANCIAL MANAGEMENT, INC.

n/a

Former SEC adviser

$337M

yes

n/a

HOLMES & TURNER FINANCIAL SERVICES, INC.

n/a

Former SEC adviser

$73.8M

yes

n/a

HOLMES & TURNER FINANCIAL SERVICES, INC.

n/a

Former SEC adviser

$73.8M

yes

n/a

City

State

Country

Employees

Also broker-dealer

Boulder

United States

yes

Frisco

United States

Tampa

United States

yes

Springfield

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Apr 2, 2020

$337M

n/a

2018

Mar 28, 2019

$276M

n/a

2017

Mar 26, 2018

$258M

n/a

2016

Mar 30, 2017

$210M

$201M

n/a

2015

Mar 29, 2016

$226M

$197M

n/a

2014

Mar 31, 2015

$223M

$193M

n/a

2013

Mar 31, 2014

$178M

$151M

n/a

2012

Mar 27, 2013

$154M

$133M

n/a

2011

Mar 29, 2012

$130M

$112M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$337M

$276M

22.0%

$210M

17.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

APOLLON WEALTH MANAGEMENT, LLC

Feb 12, 2021

Jan 1, 2025

DENVER, CO

Team lift out

RIA to RIA

33.3%