DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

HERRMANN & COOKE WEALTH MANAGEMENT

HERRMANN & COOKE, INC., CRD 110722

DANVILLE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:14698be4-ebd0-b546-823e-640a4a8a95e1

Data as of Mar 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 5
On other graphs: 0
Observed: Dec 14, 2011 to Mar 30, 2022
23 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $493MItem 5.F on the latest filing (2022-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $491M
Private client RAUM: $493MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,440
Individual clients: 530
High net worth clients: 61
Custody, client assets: $433M
SEC number: 801-31115
CRD: 110722
Filings on the tape: 23
First filed: Dec 14, 2011
Latest filed: Mar 30, 2022
Organised: Corporation, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
COOKE, JASON, MICHAEL	Trustee	F	yes	10/2010	Dec 14, 2011	Mar 30, 2022
COOKE, JASON, MICHAEL	CHIEF COMPLIANCE OFFICER	Na	yes	03/2022	Dec 14, 2011	Mar 30, 2022
COOKE, KIMBERLY, MARIE	Trustee	F	yes	10/2006	Mar 31, 2014	Mar 30, 2022
HERRMANN, BRENDA, JOY	Trustee	F	yes	03/1986	Dec 14, 2011	Mar 30, 2022
HERRMANN, DAVID, PAUL	Trustee	F	yes	03/1986	Dec 14, 2011	Mar 30, 2022
HERRMANN, DAVID, PAUL	CHIEF EXECUTIVE OFFICER	Na	yes	03/1986	Dec 14, 2011	Mar 30, 2022
COOKE FAMILY TRUST	DIRECT OWNER	D	no	10/2006	Mar 31, 2014	Mar 30, 2022
HERRMANN FAMILY TRUST	DIRECT OWNER	D	no	03/1986	Mar 31, 2014	Mar 30, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
DAVID P. HERRMANN	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 30, 2022	$493M	$491M	10	6	0	n/a	n/a
2020	Mar 31, 2021	$390M	$388M	9	5	0	n/a	n/a
2019	Mar 31, 2020	$294M	$292M	9	5	0	n/a	n/a
2018	Mar 29, 2019	$338M	$336M	8	5	0	n/a	n/a
2017	Mar 30, 2018	$353M	$350M	8	5	0	n/a	n/a
2016	Mar 31, 2017	$325M	$323M	8	4	n/a	n/a	n/a
2015	Mar 30, 2016	$292M	$290M	7	3	n/a	n/a	n/a
2014	Mar 23, 2015	$298M	$296M	8	3	n/a	n/a	n/a
2013	Mar 31, 2014	$310M	$308M	8	3	n/a	n/a	n/a
2012	Mar 21, 2013	$282M	$280M	8	4	n/a	n/a	n/a
2011	Mar 8, 2012	$264M	$262M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$493M	$390M	26.2%	$338M	13.3%	10	9	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
EDELMAN FINANCIAL ENGINES	3	Oct 14, 2022	Sep 26, 2022	DANVILLE, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (4)

← HERRMANN, DAVID, PAULOwnerTRUSTEE, ownership code F, individual
Dec 14, 2011 to presentfactForm ADV
← COOKE, JASON, MICHAELOwnerTRUSTEE, ownership code F, individual
Dec 14, 2011 to presentfactForm ADV
← HERRMANN, BRENDA, JOYOwnerTRUSTEE, ownership code F, individual
Dec 14, 2011 to presentfactForm ADV
← COOKE, KIMBERLY, MARIEOwnerTRUSTEE, ownership code F, individual
Mar 31, 2014 to presentfactForm ADV

Owns (2)

← COOKE FAMILY TRUSTOwnerDIRECT OWNER, ownership code D, domestic entity
Mar 31, 2014 to presentfactForm ADV
← HERRMANN FAMILY TRUSTOwnerDIRECT OWNER, ownership code D, domestic entity
Mar 31, 2014 to presentfactForm ADV

Registered with (4)

← JASON MICHAEL COOKEAdvisorregistration: previous registration
Jul 8, 1997 to Oct 14, 2022factForm ADV
← TRAVIS CHRISTOPHER MCEUENAdvisorregistration: previous registration
Feb 16, 2017 to Oct 14, 2022factForm ADV
← JANE Baker LANGAdvisorregistration: previous registration
Apr 21, 2022 to Oct 14, 2022factForm ADV
← DEAN GERALD ALVESAdvisorregistration: previous registration
Nov 17, 2015 to Mar 28, 2016factForm ADV

Moved with (1)

→ EDELMAN FINANCIAL ENGINESRegistered adviser3 advisors, firm absorbed, same day
Oct 14, 2022 to Sep 26, 2022factForm ADV

Dated events

Occurred
Oct 14, 2022
Firm absorbed
Herrmann & Cooke Wealth Management's advisors moved to Edelman Financial Engines (Danville, CA): 3 of 3 registered, on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Oct 14, 2022
Advisor changed firm
Jason Michael Cooke left Herrmann & Cooke Wealth Management for Edelman Financial Engines (registered 2022-09-26)
Form ADVobserved 5 days ago
Occurred
Oct 14, 2022
Advisor changed firm
Jane Baker Lang left Herrmann & Cooke Wealth Management for Edelman Financial Engines (registered 2022-09-26)
Form ADVobserved 5 days ago
Occurred
Oct 14, 2022
Advisor changed firm
Travis Christopher Mceuen left Herrmann & Cooke Wealth Management for Edelman Financial Engines (registered 2022-09-26)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
Herrmann & Cooke Wealth Management reported RAUM $492.8M, up 26% from $390.4M (2021-09-01 to 2022-03-30)
Form ADVobserved 5 days ago
$102M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14698be4-ebd0-b546-823e-640a4a8a95e1
First observed: Dec 14, 2011
Last observed: Mar 30, 2022 54 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HERRMANN & COOKE WEALTH MANAGEMENT

HERRMANN & COOKE, INC., CRD 110722

DANVILLE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:14698be4-ebd0-b546-823e-640a4a8a95e1

Data as of Mar 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:41 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COOKE, JASON, MICHAEL

Trustee

yes

10/2010

Dec 14, 2011

Mar 30, 2022

COOKE, JASON, MICHAEL

CHIEF COMPLIANCE OFFICER

yes

03/2022

Dec 14, 2011

Mar 30, 2022

COOKE, KIMBERLY, MARIE

Trustee

yes

10/2006

Mar 31, 2014

Mar 30, 2022

HERRMANN, BRENDA, JOY

Trustee

yes

03/1986

Dec 14, 2011

Mar 30, 2022

HERRMANN, DAVID, PAUL

Trustee

yes

03/1986

Dec 14, 2011

Mar 30, 2022

HERRMANN, DAVID, PAUL

CHIEF EXECUTIVE OFFICER

yes

03/1986

Dec 14, 2011

Mar 30, 2022

COOKE FAMILY TRUST

DIRECT OWNER

10/2006

Mar 31, 2014

Mar 30, 2022

HERRMANN FAMILY TRUST

DIRECT OWNER

03/1986

Mar 31, 2014

Mar 30, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DAVID P. HERRMANN

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 30, 2022

$493M

$491M

n/a

2020

Mar 31, 2021

$390M

$388M

n/a

2019

Mar 31, 2020

$294M

$292M

n/a

2018

Mar 29, 2019

$338M

$336M

n/a

2017

Mar 30, 2018

$353M

$350M

n/a

2016

Mar 31, 2017

$325M

$323M

n/a

2015

Mar 30, 2016

$292M

$290M

n/a

2014

Mar 23, 2015

$298M

$296M

n/a

2013

Mar 31, 2014

$310M

$308M

n/a

2012

Mar 21, 2013

$282M

$280M

n/a

2011

Mar 8, 2012

$264M

$262M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$493M

$390M

26.2%

$338M

13.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

EDELMAN FINANCIAL ENGINES

Oct 14, 2022

Sep 26, 2022

DANVILLE, CA

Firm absorbed

RIA to RIA

100.0%