SourcingSourcing

COOPER FINANCIAL SERVICES, INC.

C45
CRD 104671·SEC 801-24288·SHELTON, CT
AUM
$195.6M
$100M-$500M
Est. Revenue
$2.0M
@ 1% on AUM
Est. EBITDA
$587K
@ 30% margin
Est. Deal Value
$4.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
COOPER FINANCIAL SERVICES, INC.
CRD
104671
SEC file #
801-24288
EIN
—
DBA names
—

Economics

AUM
$195.6M
AUM band
$100M-$500M
AUM trajectory
'20'26
$135.0M → $195.6M▲ +45%
Client mix
Individuals Other1,284
Individuals High Net Worth51

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
3 advisors → 2 advisors▼ -33%
Primary office
SHELTON CT
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUM

Filings

Latest ADV filing
11/04/2025
ADV-W filed at
—
Website
facebook.com/cooperfinservices(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BUTLER, MICHAEL, JAMES
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
BUTLER, MICHAEL, JAMES
Butler, Steven, Gregory
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:cooper.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
3
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Fidelity4
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
6318239
Trust Company Affiliate
No

People (3)

3
BUTLER, MICHAEL, JAMES
IAR · Direct Owner · 87.5%
6318239
Butler, Steven, Gregory
IAR · Direct Owner · 7.5%
7410569
KERNEY, THOMAS, DEKARI
IAR
5581521