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COLE WEALTH MANAGEMENT, LLC
CRD 134509File 801-112658
APPROVED
Retail clients
Custody
Filing as of May 28, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$181.1M
Bottom 25% of cohort (national)
Discretionary AUM
$181.1M
Clients
281
774 accounts
Employees
4
Below cohort median in AZ
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Mar 22, 2018
- Principal office
- 9332 E RAINTREE DR, SUITE 100, SCOTTSDALE, AZ, 85260
- Phone
- 480-275-6354
- Website
- HTTP://WWW.COLEWEALTH.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $181.1M
- Discretionary AUM
- $181.1M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 774
- Non-discretionary accounts
- 0
- Total accounts
- 774
- AUM per client
- $644K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 49 | $98.0M |
| Pension and profit sharing plans | Fewer than 5 | $9.5M |
| Individuals (other than high net worth individuals) | 231 | $73.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- 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
- Yes
- Related Person Custody Cash
- Yes
- 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 |
|---|---|---|---|---|
| Apr 1, 2026 | AUM | $160,711,758 | $181,069,922 | increased by$20,358,164 |
| Apr 1, 2026 | Accounts | 822 | 774 | decreased by48 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 3 | 4 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 285 | 281 | decreased by4 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $145,000,000 | $160,711,758 | increased by$15,711,758 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 285 | 822 | increased by537 |
| Feb 1, 2022 | Clients | 270 | 285 | increased by15 |
| Feb 1, 2022 | AUM | $125,000,000 | $145,000,000 | increased by$20,000,000 |
| Feb 1, 2022 | Accounts | 270 | 285 | increased by15 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “COLE WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“COLE WEALTH” 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.