Advisor at SimplyRIA Advisor Network
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
SimplyRIA Advisor Network
Location
Sherwood Forest, CA
Credentials
Series 63, Series 65
Industry experience
6 years
Mark Cotter is a financial advisor with Caitlin John, LLC, holding Series 63 and Series 65 licenses and six years of industry experience. His work history includes roles at Caitlin John, LLC, Imagine Advisors, Imagine Financial Group, IPS Global Security Services, the USPS, and Capital Management Consultants, LLC. He also provides insurance sales and coverage advice through Imagine Financial Group. Caitlin John, LLC serves retail and high-net-worth individuals, trusts, qualified retirement plan sponsors, and other institutions, offering investment management, financial planning, consulting, and qualified retirement plan services. The firm employs a team-based approach with personalized investment programs that may include active and passive strategies, third-party managers, and a variety of instruments, along with consulting on non-traditional and private investments.
Based on SimplyRIA Advisor Network
Based on SimplyRIA Advisor Network
One-time fixed fees for financial planning engagements (amounts negotiable) and one-time fixed consulting fees
$0+: Negotiable up to 3.00% annually for non-wrap investment management services, tiered/blended, tapered/best-tier, or fixed/contracted fee structures possible $0+: Wrap fee up to 2.48% annually for Caitlin John Wrap Fee Program (legacy clients only)
Commission compensation received by licensed IARs for insurance products sold through outside business activities; separate from advisory fees
Hourly charges reported in SEC Form ADV Part 1 but not specifically detailed in brochure
Ongoing subscription planning fees billed monthly, quarterly, or semi-annually, negotiable based on engagement scope
Account minimum: $250,000 Minimum fee: $300 annual minimum investment management fee per account Fee-only: Financial planning fees typically range from $1,000 to $10,000 but may be more or less depending on scope and complexity; consulting fees negotiable including fixed, tiered, or percentage-based fees (up to 1.50% annually for AUA services); qualified retirement plan advisory fees up to 1.50% annually
Sherwood Forest, CA
California
Caitlin John, LLC
2025 - Present (1 year)
Imagine Advisors
2025 - Present (1 year)
Imagine Financial Group
2023 - Present (3 years)
IPS Global Security Services
2020 - 2024 (4 years)
Usps
2017 - 2020 (3 years)
Capital Management Consultants, LLC
2001 - 2017 (16 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 63, Series 65
Sonora, CA
Tweddell Goldberg Investment Management
Series 63
Sonora, CA
Tweddell Goldberg Investment Management
Series 63, Series 65
Sonora, CA
Continuum Advisory, LLC
Series 63, Series 66
Sonora, CA
Valley Wealth Strategies, LLC
Series 66
Sonora, CA
UNITED PLANNERS' FINANCIAL SERVICES of AMERICA a Limited Partner
Series 65
Sonora, CA
Forum Financial Management, LP
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