Cooper Financial Investments, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$0
Total clients
222
0% high-net worth
Total advisors
2
of 2 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
111
Average account size
$0
About
Cooper Financial Investments, LLC works with individual clients on financial planning and consultative services and places client portfolios with third‑party managers rather than directly managing assets. The firm provides assets‑under‑advisement services, assists with TPM paperwork and ongoing reporting, and offers educational seminars and workshops to the public.
CFI’s client work is built around selecting and referring clients to third‑party portfolio managers (including an ongoing relationship with a named TPM) and monitoring those manager relationships; trading authority and custody remain with the TPMs or custodians. The firm charges fees for assets‑under‑advisement and planning work, delivers Investment Policy Statements and periodic reviews, and provides seminars and fee‑based financial planning while not exercising discretionary trading for client accounts.
Noteworthy distinctions include an affiliated insurance practice in which the firm’s managing member sells insurance through a separate company and may receive commissions or referral fees, a source of disclosed conflicts of interest that the firm says it mitigates through disclosure and fiduciary procedures. The brochure also discloses a prior administrative enforcement finding related to indexed annuity sales and ownership connections to entities that hold a minority interest in one TPM, which the firm identifies as potential conflicts tied to its referral compensation and incentive arrangements.
Client services
Expertise
Fee options
Fixed fees for financial planning services (amounts negotiated per client)
$0+: 2.00% (Strategic Portfolios) $0+: 1.80% (Tactical Portfolios) $0+: 1.70% (Allocation & Defined Outcome Portfolios) $0+: 1.00% (Preservation Portfolios) $0+: 1.50% (Private Wealth Portfolios) $0+: $300 flat fee (Client Directed Accounts)
$300 per hour for financial planning services
Fee-only: Assets Under Advisement fees: Up to $1,000,000: 1.00%; $1,000,001 to $2,000,000: 0.75%; $2,000,001 to $3,000,000: 0.50%; Over $3,000,000: 0.40%
Main office location
Cooper Financial Investments, LLC
3850 E. Baseline Road, Suite 119
Mesa AZ 85206, United States
Number of offices
1
Most active in
Arizona · Louisiana
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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