SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Cole Wealth Management, LLC
Scottsdale, AZ
CRD 134509
Firm filing updated May 28, 2026 ·
- $181.1MAssets
- 4Advisory staff
- 774Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals231
- High net worth individuals49
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 231 | $73.5 million |
| High net worth individuals | 49 | $98.0 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $9.5 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 4 services
- Other: "LIFE & HEALTH INSURANCE, ANNUITIES, TAX PREPARATION"
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "LIFE & HEALTH INSURANCE, ANNUITIES, TAX PREPARATION"
Assets and accounts
- Regulatory assets$181.1 million
- Accounts774
- DiscretionaryAll accounts
People
- Employees4
- Advisory staff4
- Broker-dealer reps0
- Licensed insurance agents4
- Planning clients251 to 500
Advisors
3 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 134509, SEC file 801-112658.
- Registered with the SEC as an investment advisor (status date on record: March 22, 2018).
Is Cole Wealth Management, LLC a fiduciary?
Short answer: Cole Wealth Management, LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
4 staff are licensed insurance agents and the firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.