COOPER FINANCIAL SERVICES, INC.
Adviser information for COOPER FINANCIAL SERVICES, INC. last updated from Form ADV on May 30th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| 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 | 1,677 | $157.5M |
| Non-Discretionary | 0 | $0 |
| Total | 1,677 | $157.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 316 | $113.9M |
| HNW Individuals | 11 | $43.6M |
| 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 | 0 | $0 |
| 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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-24288 |
|---|---|
| SEC ERA File Number | 801-24288 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104671 |
| Legal Entity Identifier | None |
Principal Office
1000 BRIDGEPORT AVENUESUITE 308
SHELTON
CT
United States
Monday - Friday, 9 AM - 4:30 PM
Tel: 203-248-1972, Fax: 203-287-0944
Chief Compliance Officer
MICHAEL JAMES BUTLER
1000 BRIDGEPORT AVENUE
SUITE 308
SHELTON
CT
United States
Tel:
203-248-1972
M***@********************M
(Full email address available in API data)
Regulatory Contact
STEVEN BUTLER
VICE PRESIDENT
1000 BRIDGEPORT AVE
STE. 308
SHELTON
CT
United States
Tel:
2032481972
S*****@********************M
(Full email address available in API data)
Industry Affiliates
| CFS SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FLOYD OZECK & CO. P.C. | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BUTLER, MICHAEL, JAMES | Individual | – | CHIEF COMPLIANCE OFFICER/ CHIEF EXECUTIVE OFFICER/ SHAREHOLDER/CHAIRMAN | 07/2016 | > 75% |
| Butler, Steven, Gregory | Individual | – | VICE PRESIDENT | 03/2022 | 5-10% |