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COOPER FINANCIAL SERVICES, INC.
CRD 104671File 801-24288
APPROVED
Retail clients
Filing as of May 26, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$184.1M
Bottom 25% of cohort (national)
Discretionary AUM
$184.1M
Clients
1,335
1,576 accounts
Employees
3
Bottom 25% of cohort in CT
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- May 15, 1985
- Principal office
- 1000 BRIDGEPORT AVENUE, SUITE 308, SHELTON, CT, 06484
- Phone
- 203-248-1972
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $184.1M
- Discretionary AUM
- $184.1M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,576
- Non-discretionary accounts
- 0
- Total accounts
- 1,576
- AUM per client
- $138K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 51 | $111.9M |
| Individuals (other than high net worth individuals) | 1,284 | $72.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Jun 1, 2026 | Employees | 2 | 3 | increased by1 |
| Jun 1, 2026 | AUM | $195,592,113 | $184,105,399 | decreased by$11,486,714 |
| Jun 1, 2026 | Accounts | 1,637 | 1,576 | decreased by61 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 4 | 2 | decreased by2 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 362 | 1,335 | increased by973 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $170,512,440 | $195,592,113 | increased by$25,079,673 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 1,684 | 1,637 | decreased by47 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 278 | 362 | increased by84 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $158,435,835 | $170,512,440 | increased by$12,076,605 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,039 | 1,684 | decreased by355 |
| Jun 1, 2022 | Clients | 304 | 278 | decreased by26 |
| Jun 1, 2022 | AUM | $164,674,543 | $158,435,835 | decreased by$6,238,708 |
| Jun 1, 2022 | Accounts | 304 | 2,039 | increased by1,735 |
| Jul 1, 2021 | Employees | 7 | 4 | decreased by3 |
| Jul 1, 2021 | Clients | 291 | 304 | increased by13 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “COOPER FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“COOPER FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.