Coe Capital Management, LLC (Highland Park)

Name: Coe Capital Management, LLC
Address: 430 Park Avenue, Highland Park, IL, 60035
Telephone: 847-597-1700

Coe Capital Management, LLC is a large advisory firm based in Highland Park. It manages $161.54 million of regulatory assets for 223 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Florida, Illinois, Indiana, and Texas.

Coe Capital Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Coe Capital Management: assets under management

The assets under management (AUM) of Coe Capital Management, LLC is $161.54 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 169% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $161.54 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $724.39 thousand each.

Coe Capital Management has custody of $53.76 million in cash and securities for 39 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 37% of the total AUM. The second-largest asset type is exchange traded securities, which make up 37% of the firm’s portfolio. Investments in cash and cash equivalents form 13% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Coe Capital Management, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Coe Capital Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Coe Capital Management is high net worth individuals with 97 clients and $155.23 million of assets under management. Among the 9 most similar advisory firms, Coe Capital Management has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $157.1 million for 107 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Coe Capital Management doesn't advise any private funds.

Careers at Coe Capital Management, LLC

The company employs 4 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Mark David Coe	Managing member	1 Apr 1999	Other	2475757
Peter John Orth	Chief compliance officer	1 Oct 2004	Other	2176861
Karen Joy Scott	Chief compliance officer	1 Mar 2007	Other	3189062
Steven Edward Hansen	Chief operating officer	1 Jun 2007	Other	5513559
Jonathan Solomon Yaffe	Chief financial officer & chief operating officer	1 Oct 2010	Other	5906699
1993 Mark D. Coe Revocable Trust Dtd March 25	Owner	1 Nov 2012	Other	36-0409372
2012 Mark D. Coe 2012 Irrevocable Trust Dtd Sept. 20	Owner	1 Nov 2012	75% - 100%	46-6299063
Mark D. Coe Revocable Trust	Owner	1 Nov 2012	Other	36-0409372
Mark D. Coe Irrevocable Trust	Owner	1 Nov 2012	75% - 100%	46-6299063
Mark David Coe	Manager	1 Jan 2017	Other	2475757
Paul Robert Wehner	Managing director	1 Jan 2017	Other	5709543
Paul Robert Wehner	Chief compliance officer	1 May 2017	Other	5709543

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Mark David Coe	Trustee	1 Mar 1993	75% - 100%	2475757
Shari Elyse Coe	Indirect shareholder	1 Apr 1999	25% - 50%	4388842
Mark David Coe	Trustee	1 Sep 2012	75% - 100%	2475757

Based in Highland Park

The principal office where Coe Capital Management, LLC performs its advisory services is located at 430 Park Avenue, Highland Park, IL 60035, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 847-597-1700 or by fax 847-597-1701. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at intrinsicedge.com.