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.
Former SEC-registered adviser
Colorado Financial Management LLC
Legal name Sargent Bickham Lagudis, LLC
Latest filing Mar 30, 2023
First filing on the tape Mar 23, 2012 · 34 filings
RAUM
$2.0B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
89%
$1.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$2.0B as of Mar 30, 2023
Mar 23, 2012$717M then
HNW client RAUM$1.6B as of Mar 30, 2023
Mar 1, 2018$448M then
State-registered IARs (5.B.3)9 as of Mar 30, 2023
Mar 28, 20136 then
Employees (5.A)17 as of Mar 30, 2023
Mar 28, 201319 then
Private funds: no history
RAUM -8.1% over the last fiscal year+7.4% a year over threeIARs 10 to 9
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
- RAUM per advisor
- $217MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $653,909derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $547M, 340 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.6B80%
- Charitable organizations$209M11%
- Individuals$175M9.0%
- Individual clients
- 448reported
- HNW clients
- 414reported
- Pension plan clients
- n/areported
- Charitable clients
- 19reported
- Accounts
- 2,985reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $547M for 340 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Joshua Robert Miller to LidoMar 28, 2024 · RIA to RIA
- James Chartrey to LidoMar 28, 2024 · RIA to RIA
- Mathias Pryce Silberstein to LidoJan 23, 2024 · RIA to RIA
- Robert Louis Lucente to Pure Financial Advisors, LLCAug 21, 2023 · RIA to RIA
- Meagan D'Angelo to LidoApr 20, 2023 · RIA to RIA
- Viktoria Falus to LidoApr 18, 2023 · RIA to RIA
- Luke Robert Daniel to LidoApr 18, 2023 · RIA to RIA
- Jordan Tyler Kunz to LidoApr 18, 2023 · RIA to RIA
- William Andrew Snider to LidoApr 18, 2023 · RIA to RIA
- Barbara Katrien Lommen to LidoApr 18, 2023 · RIA to RIA
- Timothy Wayne Dutton to Commonwealth Financial NetworkDec 6, 2022 · RIA to affiliated broker-dealer or bank
- David E Eads to Vital Investment Management LLCApr 9, 2019 · RIA to a newly registered adviser
- Kreighton Kennedy Bieger to Kilterhowling LLCFeb 8, 2014 · Other
- Derrick Wait Robinson to Robinson Capital Management LLCApr 2, 2008 · Other
Joined, latest
- Robert Louis Lucente from LidoApr 13, 2023 · RIA to RIA
- James Chartrey from LidoApr 13, 2023 · RIA to RIA
- William Andrew Snider from Cetera Investment Advisers LLCOct 1, 2019 · Affiliated broker-dealer or bank to independent RIA
- Luke Robert Daniel from Charles Schwab & Co., Inc.Apr 14, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Scott Bradley Bickham · Director, Investments - Mountain West, Director On The Boardcontrolsince 02/2023 · owns less than 5%
- Pang Fe Jason Lee · Chief Legal And Compliance Officer, Ccocontrolsince 02/2023 · owns less than 5%
- Jay Jason Ozur · Chief Executive Officer, Director On The Boardcontrolsince 02/2023 · owns less than 5%
- Aaron Kenneth Stern · President, Director On The Boardcontrolsince 02/2023 · owns less than 5%
Related persons
Schedule D 7.A
- Enterprise Trust & Investment Companyn
- Idb Lido Wealth, LLCinvestment advisernRAUM $478M
- Lido Advisors Colossus Master Fund Gp, LLCpooled vehicle sponsorn
- Lido Advisors Colossus Tiger Global Feeder Fund I Gp, LLCpooled vehicle sponsorn
- Lidoinvestment adviseryRAUM $43B
- Lido Cap And Gap Gp, LLCbankpooled vehicle sponsorn
- Lido International Partners, Ltdinvestment advisern
- Lido Powerlift Gp, LLCbankpooled vehicle sponsorn
- Lido Private Funds, LLCbankpooled vehicle sponsorn
- Lido Tax, LLCinsurancen
- Lido Uncapped Diversified Gp, LLCbankpooled vehicle sponsorn
- Lido Uncapped Gp, LLCbankpooled vehicle sponsorn
- Lido Uncapped Platinum Gp, LLCbankpooled vehicle sponsorn
- Lido Uncapped Quarterly Gp, LLCbankpooled vehicle sponsorn
- Oakhurst Capital Advisors, LLCinvestment advisernRAUM $5.7M
Advisers that list Colorado Financial Management LLC as a related person
- 269866 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boulder, Co · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Denver, CO1 employees
- Johnstown, CO1 employees
What changed
consecutive filings, newest first
- Accounts · 3,199 to 2,985May 2, 2022 to Mar 30, 2023
- Advisory employees · 14 to 9May 2, 2022 to Mar 30, 2023
- Charity clients · 21 to 19May 2, 2022 to Mar 30, 2023
- HNW clients · 448 to 414May 2, 2022 to Mar 30, 2023
- Individual clients · 376 to 448May 2, 2022 to Mar 30, 2023
- Assets in custody · $693M to $547MMay 2, 2022 to Mar 30, 2023
- Employees · 28 to 17May 2, 2022 to Mar 30, 2023
- State-registered IARs · 10 to 9May 2, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.1B to $1.9BMay 2, 2022 to Mar 30, 2023
- HNW RAUM · $1.8B to $1.6BMay 2, 2022 to Mar 30, 2023
- Individual RAUM · $144M to $175MMay 2, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $12.7M to $12.1MMay 2, 2022 to Mar 30, 2023
- RAUM · $2.1B to $2.0BMay 2, 2022 to Mar 30, 2023
- Related adviser · false to trueMay 2, 2022 to Mar 30, 2023
- Related bank · false to trueMay 2, 2022 to Mar 30, 2023
- Related insurance company · false to trueMay 2, 2022 to Mar 30, 2023
- Succession · false to trueMay 2, 2022 to Mar 30, 2023
- Accounts · 2,916 to 3,199Jun 25, 2021 to Feb 24, 2022
- Advisory employees · 12 to 14Jun 25, 2021 to Feb 24, 2022
- HNW clients · 433 to 448Jun 25, 2021 to Feb 24, 2022
- Individual clients · 380 to 376Jun 25, 2021 to Feb 24, 2022
- Assets in custody · $751M to $693MJun 25, 2021 to Feb 24, 2022
- Employees · 26 to 28Jun 25, 2021 to Feb 24, 2022
- Discretionary RAUM · $1.8B to $2.1BJun 25, 2021 to Feb 24, 2022
- HNW RAUM · $1.4B to $1.8BJun 25, 2021 to Feb 24, 2022
- Individual RAUM · $167M to $144MJun 25, 2021 to Feb 24, 2022
- Non-discretionary RAUM · $21.2M to $12.7MJun 25, 2021 to Feb 24, 2022
- RAUM · $1.8B to $2.1BJun 25, 2021 to Feb 24, 2022
- Accounts · 2,762 to 2,916Sep 8, 2020 to Mar 5, 2021
- Advisory employees · 13 to 12Sep 8, 2020 to Mar 5, 2021
- Charity clients · 20 to 21Sep 8, 2020 to Mar 5, 2021
- HNW clients · 371 to 433Sep 8, 2020 to Mar 5, 2021
- Individual clients · 366 to 380Sep 8, 2020 to Mar 5, 2021
- Assets in custody · unset to 751211090.0Sep 8, 2020 to Mar 5, 2021
- Custody of client assets · false to trueSep 8, 2020 to Mar 5, 2021
- Employees · 24 to 26Sep 8, 2020 to Mar 5, 2021
- Discretionary RAUM · $1.6B to $1.8BSep 8, 2020 to Mar 5, 2021
- HNW RAUM · $1.2B to $1.4BSep 8, 2020 to Mar 5, 2021
- Individual RAUM · $179M to $167MSep 8, 2020 to Mar 5, 2021
- Non-discretionary RAUM · $15.8M to $21.2MSep 8, 2020 to Mar 5, 2021
Signals
23 dated events
- Joshua Robert Miller left Colorado Financial Management Llc for Lido (registered 2024-03-28)Mar 28, 2024 · Advisor changed firm · fact
- James Chartrey left Colorado Financial Management Llc for Lido (registered 2024-03-28)Mar 28, 2024 · Advisor changed firm · fact
- 2 advisors left Colorado Financial Management LLC (Boulder, CO) for Lido on the same dayMar 28, 2024 · Team lift-out · derived
- Mathias Pryce Silberstein left Colorado Financial Management Llc for Lido (registered 2023-09-26)Jan 23, 2024 · Advisor changed firm · fact
- Robert Louis Lucente left Colorado Financial Management Llc for Pure Financial Advisors, Llc (registered 2024-03-18)Aug 21, 2023 · Advisor changed firm · fact
- Meagan D'Angelo left Colorado Financial Management Llc for Lido (registered 2023-04-20)Apr 20, 2023 · Advisor changed firm · fact
- William Andrew Snider left Colorado Financial Management Llc for Lido (registered 2023-04-12)Apr 18, 2023 · Advisor changed firm · fact
- Barbara Katrien Lommen left Colorado Financial Management Llc for Lido (registered 2023-04-13)Apr 18, 2023 · Advisor changed firm · fact
- Luke Robert Daniel left Colorado Financial Management Llc for Lido (registered 2024-05-31)Apr 18, 2023 · Advisor changed firm · fact
- Viktoria Falus left Colorado Financial Management Llc for Lido (registered 2024-05-29)Apr 18, 2023 · Advisor changed firm · fact
- Jordan Tyler Kunz left Colorado Financial Management Llc for Lido (registered 2023-04-14)Apr 18, 2023 · Advisor changed firm · fact
- Colorado Financial Management LLC's advisors moved to Lido (Boulder, CO): 6 of 10 registered, within 2 daysApr 18, 2023 · Firm absorbed (people side) · derived
- Colorado Financial Management Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 30, 2023 · Succession (Item 4) · fact
- Michael Christopher Lagudis (Vice President And Senior Financial Advisor) no longer on Schedule A of Colorado Financial Management Llc (listed 2022-05-02, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- W Richard Lawrence (Chief Executive Officer/President) no longer on Schedule A of Colorado Financial Management Llc (listed 2022-05-02, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Robert Luke Daniel (Partner And Senior Financial Advisor) no longer on Schedule A of Colorado Financial Management Llc (listed 2022-05-02, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Meagan D'Angelo (Partner And Senior Financial Advisor) no longer on Schedule A of Colorado Financial Management Llc (listed 2022-05-02, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Robert Joshua Miller (Partner/Chief Compliance Officer/Senior Financial Advisor) no longer on Schedule A of Colorado Financial Management Llc (listed 2022-05-02, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Jay Jason Ozur (Chief Executive Officer, Director On The Board) appeared on Schedule A of Colorado Financial Management LlcMar 30, 2023 · Control person joined · fact
- Aaron Kenneth Stern (President, Director On The Board) appeared on Schedule A of Colorado Financial Management LlcMar 30, 2023 · Control person joined · fact
- Pang Fe Jason Lee (Chief Legal And Compliance Officer, Cco) appeared on Schedule A of Colorado Financial Management LlcMar 30, 2023 · Control person joined · fact
- Timothy Wayne Dutton left Colorado Financial Management Llc for Commonwealth Financial Network (registered 2023-01-05)Dec 6, 2022 · Advisor changed firm · fact
- Forman Patricia Meneley (Secretary/Treasurer/Chief Operating Officer) no longer on Schedule A of Colorado Financial Management Llc (listed 2019-03-31, absent 2019-04-10)Apr 10, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026