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COHEN CAPITAL

CHICAGO, IL · CRD 339112 · IAPD ↗ · coheninvest.com · (312) 477-3155

$1.10BRegulatory AUM
7Advisory reps
11Employees
0Clients
0Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
June 2026 — COHEN CAPITAL now reports custody of client assets ($735.3M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
72
June 2026 — COHEN CAPITAL grew from 5 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
75
June 2026 — COHEN CAPITAL's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
February 2026 — COHEN CAPITAL (CHICAGO, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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