Cote Financial Management, Llc
- Regulatory AUM
- $151M
- Discretionary
- $0
- Clients
- 134
- Avg AUM / client
- $1.1M
- Accounts
- 378
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 25, 2026
Asset allocation (SMA assets by investment type)
as of Mar 25, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 104 | $29.4M | 19.4% |
| High net worth individuals | 28 | $120M | 79.5% |
| Corporations and other businesses | 2 | $1.6M | 1.07% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stephen Mark Cote | Chief Executive Officer | CFP | Feb 2010 (17y) | 75% or more |
| Garrett Allen Burgess | Registered representative | Jan 2026 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 03/25/2026 | 1000 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: DISPUTE BETWEEN MY FORMER EMPLOYER AND MYSELF. PAPERWORK WAS NOT FILED IN A TIMELY MANNER, ONCE CLAIRIFED, ISSUE AND SUSPENSION WAS LIFTED IMMEDIATELY. Status: Final Sanction Detail: SUSPENSION LASTED ONLY FOR A WEEK AND HALF DUE TO NON-FILING OF PAPERWORK. ONCE RESOLVED SUSPENSION WAS LIFTED AND REINSTATED. Summary: DISAGREEMENT WITH FORMER EMPLOYER AND WORK POLICIES. MATTER RESOLVED, NO ADDITIONAL SANCTIONS ENFORCED.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 25, 2026.
View current Form ADV (SEC/IAPD) ↗