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DOROTHY J. COLE
DOROTHY JANE COLE
CRD 116607
Advisory firmSole prop
Independent or team-based registered investment adviser — LLC, partnership, or sole proprietorship.
United States
Registration
— (—)
Source
State registered
Total AUM
$92.5M
Discretionary AUM
$0
Team
5 total employees; 1 advisory reps; 9 broker-dealer reps
Clients
26-50
Fees
Percentage of AUM; Hourly charges; Fixed fees
Org form
Sole Proprietorship
Filing date
2026-03-31
Disciplinary history
No
Services
Financial planningPortfolio management (individuals)Selection of other advisersSMALL BUSINESS MANAGEMENT
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 19 | $23.2M |
| High net worth individuals | 34 | $69.3M |
All web addresses on file
Official SEC filing: View on IAPD