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

HOCHMAN COLE INVESTMENT ADVISORS, INC.

CRD 141396

DEERFIELD, IL

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:e001ac01-b954-c71c-01cb-b3a7ea83db99

Data as of Feb 17, 2021 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2012 to Feb 17, 2021
22 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: $443MItem 5.F on the latest filing (2021-02-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $443M
Private client RAUM: $441MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 582
Individual clients: 84
High net worth clients: 135
SEC number: 801-67213
CRD: 141396
Filings on the tape: 22
First filed: Mar 12, 2012
Latest filed: Feb 17, 2021
Organised: Corporation, Illinois

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
COLE, PHILIP, JEFFREY	VICE PRESIDENT, CCO	D	yes	08/2012	Aug 2, 2012	Feb 17, 2021
HOCHMAN, JOEL, LEONARD	President	D	yes	09/2006	Mar 12, 2012	Feb 17, 2021
WILLIAMS, MICHAEL, JAMES	SENIOR ADVISOR	Na	no	09/2015	Nov 17, 2015	Feb 17, 2021

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
2020	Feb 17, 2021	$443M	$443M	5	3	0	n/a	n/a
2019	Feb 10, 2020	$389M	$388M	5	3	0	n/a	n/a
2018	Feb 12, 2019	$334M	$334M	5	3	0	n/a	n/a
2017	Feb 2, 2018	$339M	$339M	5	3	0	n/a	n/a
2016	Feb 6, 2017	$286M	$285M	5	3	n/a	n/a	n/a
2015	Mar 3, 2016	$259M	$234M	5	3	n/a	n/a	n/a
2014	Feb 18, 2015	$253M	$235M	4	2	n/a	n/a	n/a
2013	Feb 4, 2014	$223M	$205M	4	2	n/a	n/a	n/a
2012	Feb 22, 2013	$177M	$0	4	2	n/a	n/a	n/a
2011	Mar 12, 2012	$156M	$0	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
2020	$443M	$389M	13.8%	$339M	9.3%	5	5	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
MAI CAPITAL MANAGEMENT, LLC	2	Dec 9, 2021	Dec 23, 2021	NORTHBROOK, IL	Team lift out	RIA to RIA	66.7%

Relationships

Controls (2)

← HOCHMAN, JOEL, LEONARDOwnerPRESIDENT, ownership code D, individual
Mar 12, 2012 to presentfactForm ADV
← COLE, PHILIP, JEFFREYOwnerVICE PRESIDENT, CCO, ownership code D, individual
Aug 2, 2012 to presentfactForm ADV

Owns (1)

← WILLIAMS, MICHAEL, JAMESOwnerSENIOR ADVISOR, ownership code NA, individual
Nov 17, 2015 to presentfactForm ADV

Moved with (1)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Dec 9, 2021 to Dec 23, 2021factForm ADV

Registered with (5)

← JOEL LEONARD HOCHMANAdvisorregistration: previous registration
Oct 17, 2006 to Dec 9, 2021factForm ADV
← MICHAEL JAMES WILLIAMSAdvisorregistration: previous registration
Nov 4, 2015 to Dec 9, 2021factForm ADV
← PHILIP JEFFREY COLEAdvisorregistration: previous registration
Mar 5, 2009 to Dec 9, 2021factForm ADV
← GLENN ALLEN BAKERAdvisorregistration: previous registration
Oct 17, 2006 to Apr 14, 2009factForm ADV
← REBECCA MARISA COLEMANAdvisorregistration: previous registration
Jun 10, 2008 to Apr 14, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e001ac01-b954-c71c-01cb-b3a7ea83db99
First observed: Mar 12, 2012
Last observed: Feb 17, 2021 67 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.

HOCHMAN COLE INVESTMENT ADVISORS, INC.

CRD 141396

DEERFIELD, IL

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:e001ac01-b954-c71c-01cb-b3a7ea83db99

Data as of Feb 17, 2021 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:34 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COLE, PHILIP, JEFFREY

VICE PRESIDENT, CCO

yes

08/2012

Aug 2, 2012

Feb 17, 2021

HOCHMAN, JOEL, LEONARD

President

yes

09/2006

Mar 12, 2012

Feb 17, 2021

WILLIAMS, MICHAEL, JAMES

SENIOR ADVISOR

09/2015

Nov 17, 2015

Feb 17, 2021

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Feb 17, 2021

$443M

n/a

2019

Feb 10, 2020

$389M

$388M

n/a

2018

Feb 12, 2019

$334M

n/a

2017

Feb 2, 2018

$339M

n/a

2016

Feb 6, 2017

$286M

$285M

n/a

2015

Mar 3, 2016

$259M

$234M

n/a

2014

Feb 18, 2015

$253M

$235M

n/a

2013

Feb 4, 2014

$223M

$205M

n/a

2012

Feb 22, 2013

$177M

n/a

2011

Mar 12, 2012

$156M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$443M

$389M

13.8%

$339M

9.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MAI CAPITAL MANAGEMENT, LLC

Dec 9, 2021

Dec 23, 2021

NORTHBROOK, IL

Team lift out

RIA to RIA

66.7%