DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Cosey Financial Services, Inc.
Latest filing Feb 25, 2026
First filing on the tape Mar 11, 2021 · 14 filings
SEC status approved since Apr 9, 2021
RAUM
$124M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
88%
$109M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$41.2M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$124M as of Feb 25, 2026
Mar 14, 2022$156M then
HNW client RAUM$62.3M as of Feb 25, 2026
Mar 14, 2022$49.5M then
State-registered IARs (5.B.3)3 as of Feb 25, 2026
Mar 14, 20225 then
Employees (5.A)6 as of Feb 25, 2026
Mar 14, 20225 then
Private funds: no history
RAUM +3.9% over the last fiscal year+3.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $41.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $136,209derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $23.5M, 110 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$62.3M50%
- Individuals$46.9M38%
- Pension and profit-sharing plans$12.6M10%
- Banks and thrifts$1.2M1.0%
- Corporations and businesses$298,3500.2%
- Charitable organizations$270,2060.2%
- Individual clients
- 343reported
- HNW clients
- 42reported
- Pension plan clients
- 14reported
- Charitable clients
- 0reported
- Accounts
- 908reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.5M for 110 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Anthony Eugene Cosey | Knoxville, Tn | Apr 13, 2006 | 26 y | 3 |
| Donald Robert GreeneChartered Financial Consultant | Nashville, Tn | May 4, 2017 | 36 y | 2 |
| Randy Lynn Puckett | Hendersonville, Tn | Apr 20, 2026 | 20 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- John Robert Dixon to Dempsey Lord Smith, LLCMar 2, 2021 · RIA to RIA
- Andrew Robert Wallace to Silver Oak Securities, Inc.Feb 5, 2020 · RIA to affiliated broker-dealer or bank
- Rachael Jenifer Holcomb to Osaic Advisory Services, LLCDec 10, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- Randy Lynn Puckett from Financial Partners Group, LLCApr 20, 2026 · Other
- Donald Robert Greene from Silver Oak Securities, Inc.May 4, 2017 · Other
- Andrew Robert Wallace from Raymond James Financial Services, Inc.Jan 26, 2007 · Other
- Anthony Eugene Cosey from Ssn Advisory, Inc.Apr 13, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Eugene Anthony Cosey · President/Chief Compliance Officercontrolsince 01/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Knoxville, Tn · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hendersonville, TN1 employees
- Nashville, TN1 employees
What changed
consecutive filings, newest first
- Accounts · 851 to 908Mar 3, 2025 to Feb 25, 2026
- HNW clients · 36 to 42Mar 3, 2025 to Feb 25, 2026
- Individual clients · 330 to 343Mar 3, 2025 to Feb 25, 2026
- Pension plan clients · 10 to 14Mar 3, 2025 to Feb 25, 2026
- Assets in custody · $18.9M to $23.5MMar 3, 2025 to Feb 25, 2026
- Discretionary RAUM · $83.3M to $100.0MMar 3, 2025 to Feb 25, 2026
- HNW RAUM · $45.1M to $62.3MMar 3, 2025 to Feb 25, 2026
- Individual RAUM · $56.1M to $46.9MMar 3, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $35.8M to $23.7MMar 3, 2025 to Feb 25, 2026
- Pension RAUM · $16.4M to $12.6MMar 3, 2025 to Feb 25, 2026
- RAUM · $119M to $124MMar 3, 2025 to Feb 25, 2026
- Accounts · 807 to 851Oct 24, 2024 to Mar 3, 2025
- Corporate clients · 8 to 5Oct 24, 2024 to Mar 3, 2025
- HNW clients · 39 to 36Oct 24, 2024 to Mar 3, 2025
- Individual clients · 279 to 330Oct 24, 2024 to Mar 3, 2025
- Pension plan clients · 11 to 10Oct 24, 2024 to Mar 3, 2025
- Assets in custody · $9.9M to $18.9MOct 24, 2024 to Mar 3, 2025
- Financial planning clients · 0 to 0Oct 24, 2024 to Mar 3, 2025
- Discretionary RAUM · $73.4M to $83.3MOct 24, 2024 to Mar 3, 2025
- HNW RAUM · $41.8M to $45.1MOct 24, 2024 to Mar 3, 2025
- Individual RAUM · $46.9M to $56.1MOct 24, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $30.3M to $35.8MOct 24, 2024 to Mar 3, 2025
- Pension RAUM · $13.5M to $16.4MOct 24, 2024 to Mar 3, 2025
- RAUM · $104M to $119MOct 24, 2024 to Mar 3, 2025
- Accounts · 934 to 807Oct 26, 2023 to Mar 6, 2024
- Corporate clients · 0 to 8Oct 26, 2023 to Mar 6, 2024
- HNW clients · 59 to 39Oct 26, 2023 to Mar 6, 2024
- Individual clients · 866 to 279Oct 26, 2023 to Mar 6, 2024
- Pension plan clients · 8 to 11Oct 26, 2023 to Mar 6, 2024
- Assets in custody · $30.8M to $9.9MOct 26, 2023 to Mar 6, 2024
- Employees · 5 to 6Oct 26, 2023 to Mar 6, 2024
- Discretionary RAUM · $76.3M to $73.4MOct 26, 2023 to Mar 6, 2024
- HNW RAUM · $59.2M to $41.8MOct 26, 2023 to Mar 6, 2024
- Individual RAUM · $31.3M to $46.9MOct 26, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $34.6M to $30.3MOct 26, 2023 to Mar 6, 2024
- Pension RAUM · $18.6M to $13.5MOct 26, 2023 to Mar 6, 2024
- RAUM · $111M to $104MOct 26, 2023 to Mar 6, 2024
- Accounts · 892 to 934Mar 15, 2022 to Mar 22, 2023
- Advisory employees · 5 to 3Mar 15, 2022 to Mar 22, 2023
- HNW clients · 34 to 59Mar 15, 2022 to Mar 22, 2023
Signals
1 dated events
- Cosey Financial Services, Inc. filed its initial SEC registration (Form ADV)Mar 11, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 865-288-0292reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 865-470-4244reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- COSEYFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 865-470-4244reportedpublic record, Form ADV, Feb 25, 2026
- Contact form
- coseyfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $41.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026