MCCARLEY & COOK FINANCIAL PLANNERS
MCCARLEY & COOK LLC Legal Name
Adviser information for MCCARLEY & COOK FINANCIAL PLANNERS last updated from Form ADV on January 23rd, 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 | Ohio, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 458 | $121.3M |
| Non-Discretionary | 0 | $0 |
| Total | 458 | $121.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 106 | $34.3M |
| HNW Individuals | 39 | $85.4M |
| 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 | $1.6M |
| 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 | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-125903 |
|---|---|
| SEC ERA File Number | 801-125903 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310087 |
| Legal Entity Identifier | None |
Principal Office
6910 MIAMI AVE.CINCINNATI
OH
United States
Monday - Friday, APPT ONLY
Tel: 513-792-9990, Fax: None
Chief Compliance Officer
CHRISTOPHER COOK
MANAGING MEMBER
6910 MIAMI AVE
CINCINNATI
OH
United States
Tel:
513-792-9990
C****@***************M
(Full email address available in API data)
Regulatory Contact
LORI NEIDEL
OUTSIDE COMPLIANCE PROVIDER
910 E. BROADWAY
SUITE 209
COLUMBIA
MO
United States
Tel:
573-416-8076
L***@************************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 |
|---|---|---|---|---|---|
| COOK, CHRISTOPHER, GEORGE | Individual | – | MANAGING MEMBER AND CCO | 06/2020 | > 75% |