Cole Financial Planning And Wealth Management, Inc
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ADV data as of Jul 01, 2026
- Regulatory AUM
- $89.2M
- Discretionary
- $63.7M
- Clients
- 75
- Avg AUM / client
- $1.2M
- Accounts
- 261
- Employees
- 2
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 48 | $25.9M | 29.0% |
| High net worth individuals | 27 | $62.9M | 70.5% |
| Corporations and other businesses | Fewer than 5 clients | $471K | 0.53% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Scott Douglas Cole | Registered representative | CFP | Sep 2004 (22y) | |
| Adam Jeffrey Warren | Registered representative | CFP | Dec 2025 (1y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/01/2026 | 1.14 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $44.9M (50% of AUM) Jul 2026
- Truist Financial Corp $42.9M (48% of AUM) Jul 2026
- Tiaa/Cref $1.4M (2% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 01, 2026.
View current Form ADV (SEC/IAPD) ↗