COLE WEALTH MANAGEMENT, LLC
Adviser information for COLE WEALTH MANAGEMENT, LLC last updated from Form ADV on March 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 285 | $145.0M |
| Non-Discretionary | 0 | $0 |
| Total | 285 | $145.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 200 | $69.0M |
| HNW Individuals | 85 | $69.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $7.0M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsLIFE & HEALTH INSURANCE, ANNUITIES, TAX PREPARATION |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agentAccountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-112658 |
|---|---|
| SEC ERA File Number | 801-112658 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 134509 |
| Legal Entity Identifier | None |
Principal Office
9332 E RAINTREE DRSUITE 100
SCOTTSDALE
AZ
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 480-275-6354, Fax: 480-275-6372
Chief Compliance Officer
MARTIN T. COLE
MANAGING MEMBER
9332 E RAINTREE DR
SUITE 100
SCOTTSDALE
AZ
United States
Tel:
4802756354
Fax:
4802756372
M****@*************M
(Full email address available in API data)
Regulatory Contact
MARTIN T. COLE
MANAGING MEMBER
9332 E RAINTREE DR
SUITE 100
SCOTTSDALE
AZ
United States
Tel:
480 275-6354
Fax:
480 275-6372
M****@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THE COLE TRUST - MARTIN T. COLE AND ERICA S. COLE, TRUSTEES DTD 01/25/2005 | Domestic Entity | – | OWNER | 02/2005 | > 75% |
| COLE, MARTIN, TAYLOR | Individual | – | MANAGING MEMBER CHIEF COMPLIANCE OFFICER | 02/2005 | < 5% |
| COLE, MARTIN, TAYLOR | Individual | THE COLE TRUST DTD 02/16/2005 | TRUSTEE | 02/2005 | 50-75% |
| COLE, ERICA, S | Individual | THE COLE TRUST DTD 02/16/2005 | TRUSTEE | 02/2005 | 50-75% |