Cooper Financial Investments, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Cooper Financial Investments provides advisory services to individual clients primarily by referring accounts to third‑party money managers and by offering financial planning and assets‑under‑advisement reviews. The firm also conducts educational seminars and workshops for the public; it does not directly manage client trading or accept discretionary authority over client accounts.
The firm operates largely as a liaison between clients and third‑party managers: it helps clients complete onboarding paperwork, delivers TPM disclosure materials, reviews quarterly statements, and makes non‑discretionary recommendations on goals, asset allocation, and planning. Clients’ accounts and trading are maintained and executed by the selected TPMs or custodians, and clients are billed under the TPMs’ fee schedules while the firm receives referral shares and provides ongoing service and periodic reviews.
Distinctive features noted in the firm’s brochure include an affiliated insurance brokerage business and ownership linkages with entities that have minority stakes in one of the TPMs, which the firm says create potential conflicts of interest that it discloses and manages. The brochure also discloses a prior state enforcement action related to the marketing and sale of fixed indexed annuities; the firm states it maintains a code of ethics, supervisory procedures, and written conflict disclosures to address these relationships.
Client services
Expertise
Fee options
Flat fees may be charged for financial planning; specific amounts negotiated and estimated prior to engagement
$0+: 1.00% (CFI fee portion) plus 0.40% to 1.15% (Gradient Investments fee portion) depending on portfolio $0+: Client Directed Accounts: $300 flat fee
$300 per hour for financial planning services
Minimum fee: $300 per quarter service fee (technology fee) per account or investment strategy for performance and reporting Fee-only: Assets Under Advisement fees tiered: up to $1,000,000: 1.00% max annually; $1,000,001-$2,000,000: 0.75%; $2,000,001-$3,000,000: 0.50%; over $3,000,000: 0.40% max annually
Main office
3850 E. Baseline Road, Suite 119
Mesa AZ 85206
Advisors at this office
2
Most active in
Arizona · Louisiana
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
Advisors at this firm
Brad C
Series 63, Series 65
Mesa, AZ
Cooper Financial Investments, LLC
Brad Cooper is a financial advisor with Cooper Financial Investments, LLC in Mesa, AZ, holding Series 63 and Series 65 designations and 19 years of industry experience. He has worked at Cooper Financial Investments since 2017 and previously at Horter Investment Management, LLC. In addition to his advisory work, Cooper assists an estate planning firm with trusts and wills through a separate business activity. Cooper Financial Investments provides advisory services primarily by referring clients to third-party money managers, offering financial planning, and conducting educational seminars. The firm does not directly manage client accounts but facilitates onboarding, ongoing service, and non-discretionary recommendations.
Jose R
Series 66
Mesa, AZ
Cooper Financial Investments, LLC
Jose Rodriguez Osuna is a financial advisor with Cooper Financial Investments, LLC in Mesa, AZ, holding a Series 66 designation and three years of industry experience. His prior roles include positions at Morgan Stanley, Northwestern Mutual, and General Southwest Insurance Agency. He is also involved in estate planning through Copper Canyon Law, assisting with trusts and wills. Cooper Financial Investments provides advisory services primarily by referring clients to third-party money managers and conducting financial planning and asset-under-advisement reviews. The firm focuses on client onboarding, educational workshops, and non-discretionary recommendations while account management and trading are handled by third-party managers.
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