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COTE FINANCIAL MANAGEMENT
Legal name: COTE FINANCIAL MANAGEMENT, LLC
CRD 153088File 801-130714
APPROVED
Retail clients
Disclosure events
Filing as of Mar 25, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$151.2M
Bottom 25% of cohort (national)
Discretionary AUM
$0
Non-discretionary $151.2M
Clients
134
378 accounts
Employees
3
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Aug 26, 2024
- Principal office
- Not reported
- Phone
- 978-767-9501
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $151.2M
- Discretionary AUM
- $0
- Non-discretionary AUM
- $151.2M
- Discretionary accounts
- 0
- Non-discretionary accounts
- 378
- Total accounts
- 378
- AUM per client
- $1.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 2 | $1.6M |
| High net worth individuals | 28 | $120.3M |
| Individuals (other than high net worth individuals) | 104 | $29.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- 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 11- Q11E4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 369 | 134 | decreased by235 |
| Apr 1, 2026 | AUM | $131,566,555 | $151,230,174 | increased by$19,663,619 |
| Apr 1, 2026 | Accounts | 369 | 378 | increased by9 |
| May 1, 2025 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “COTE FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“COTE 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.