# COTE FINANCIAL MANAGEMENT, LLC

COTE FINANCIAL MANAGEMENT, LLC is an SEC-registered investment adviser.

## Registration

- CRD: 153088
- Type: SEC-registered investment adviser
- SEC file number: 801-130714
- Phone: 978-767-9501
- Latest filing: 2026-03-25
- Regulatory AUM: $151.2M
- Non-discretionary AUM: $151.2M
- Clients: 3
- Accounts: 378

## Business model

- Compensation: % of AUM, Hourly
- Clients served: Individuals, High net worth

## Officers, owners & control persons (5)

| Name | Role | Location |
| --- | --- | --- |
| Stephen Mark Cote | CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER | — |
| NICASTRO JOHN PETER | CHIEF COMPLIANCE OFFICER | — |
| NICASTRO DAVID LUKE | CHIEF OPERATING OFFICER | — |
| COTE STEPHEN | CHIEF EXECUTIVE OFFICER | — |
| COTE STEPHEN MARK | CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER | — |


## Disclosures (4)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2012-08-01 | regulatory | DISPUTE BETWEEN MY FORMER EMPLOYER AND MYSELF. PAPERWORK WAS NOT FILED IN A TIMELY MANNER, ONCE CLAIRIFED, ISSUE AND SUSPENSION WAS LIFTED IMMEDIATELY. | Final | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/153088/brochure
- Similar advisers: https://search.stillhousedata.com/firm/153088/similar
- Related entities: https://search.stillhousedata.com/firm/153088/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/153088

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.