SourcingSourcing

COWA, LLC

C39
CRD 297180·SEC 801-113403·TULSA, OK
AUM
$529.4M
$500M-$1B
Est. Revenue
$5.3M
@ 1% on AUM
Est. EBITDA
$1.6M
@ 30% margin
Est. Deal Value
$12.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
COWA, LLC
CRD
297180
SEC file #
801-113403
EIN
824613188
DBA names
Council Oak Wealth Advisors

Economics

AUM
$529.4M
AUM band
$500M-$1B
AUM trajectory
'20'26
$150.3M → $529.4M▲ +252%
Client mix
Individuals Other253
Individuals High Net Worth117
Charitable Organizations8

Operations

Employees (total)
6
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
4 advisors → 4 advisors▬ 0%
Primary office
TULSA OK
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesOther Advisory Services
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/20/2026
ADV-W filed at
—
Website
counciloakinvestments.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SHELTER ME, LLC
Top Owner Pct
62.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
SHELTER ME, LLC
THIRD BUCKET, LLC
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
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
ok
Rdap Domain
COUNCILOAKINVESTMENTS.COM
Rdap Domain Creation Date
2018-02-26T16:19:22Z
Rdap Firm Age Years
8
Rdap Firm Age Band
5-10y
Rdap Registrar
DNC Holdings, Inc.

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001844480
Edgar Registered
Yes
Edgar Filing Count
25
Edgar First Filing Date
2021-02-05
Edgar Last Filing Date
2026-05-14
Edgar 13f Count
23
Edgar 13f Latest AUM Estimate
Filing Date2026-05-14
Accession0001172661-26-001949

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
Raymond James4
E*trade4
Edgar Addresses
Mailing
8801 S. YALE AVENUESUITE 420TULSA, OK 74137
Business
8801 S. YALE AVENUESUITE 420TULSA, OK 74137
Edgar EIN
824613188
Edgar Recent Filings
13F-HR2026-05-14 · 0001172661-26-001949
13F-HR2026-02-12 · 0001172661-26-000642
Firm Has Custody
Yes
Mailing Office Differs
Yes
Rdap Domain Expiration Date
2027-02-26T16:19:22Z
Rdap Domain Last Changed
2026-01-26T22:55:53Z
Rdap Nameservers
Fiona.ns.cloudflare.comOwen.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
No

People (5)

5
DIACON, JAMES, E
IAR · Executive Officer · 2.5%
1653168
Alexandra Day
IAR
8157938
DANIEL DON BEUTEL
IAR
6949326
NATHAN JOEL LOVELLE
IAR
3153234
John Cody Burrows
IAR
8254568