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COLE WEALTH MANAGEMENT, LLC

SCOTTSDALE, AZ · CRD 134509 · IAPD ↗ · colewealthmanagement.com · 480-275-6354

$181.1MRegulatory AUM
4Advisory reps
4Employees
281Clients
251-500Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

44
June 2026 — COLE WEALTH MANAGEMENT, LLC notice-filed in ID, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
April 2026 — COLE WEALTH MANAGEMENT, LLC reports 251-500 financial-planning clients, up from 101-250.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
67
September 2024 — COLE WEALTH MANAGEMENT, LLC grew from 3 to 5 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
65
April 2024 — COLE WEALTH MANAGEMENT, LLC now reports custody of client assets ($26.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.