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COSEY FINANCIAL SERVICES, INC.
CRD 140175File 801-120768
APPROVED
Retail clients
Custody
Filing as of Feb 25, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$123.7M
Bottom 25% of cohort (national)
Discretionary AUM
$100.0M
Non-discretionary $23.7M
Clients
404
908 accounts
Employees
6
Bottom 25% of cohort in TN
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Apr 9, 2021
- Principal office
- 118 HUXLEY RD, SUITE 5, KNOXVILLE, TN, 37922
- Phone
- 865-470-4244
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $123.7M
- Discretionary AUM
- $100.0M
- Non-discretionary AUM
- $23.7M
- Discretionary accounts
- 825
- Non-discretionary accounts
- 83
- Total accounts
- 908
- AUM per client
- $306K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $298K |
| Charitable organizations | Fewer than 5 | $270K |
| High net worth individuals | 42 | $62.3M |
| Banking or thrift institutions | Fewer than 5 | $1.2M |
| Pension and profit sharing plans | 14 | $12.6M |
| Individuals (other than high net worth individuals) | 343 | $46.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- 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 |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 381 | 404 | increased by23 |
| Mar 1, 2026 | AUM | $119,053,826 | $123,677,943 | increased by$4,624,117 |
| Mar 1, 2026 | Accounts | 851 | 908 | increased by57 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 5 | 6 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 463 | 381 | decreased by82 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $155,975,734 | $119,053,826 | decreased by$36,921,908 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 892 | 851 | decreased by41 |
| Apr 1, 2022 | Clients | 335 | 463 | increased by128 |
| Apr 1, 2022 | AUM | $107,215,602 | $155,975,734 | increased by$48,760,132 |
| Apr 1, 2022 | Accounts | 798 | 892 | increased by94 |
| May 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 “COSEY FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“COSEY 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.