{"url":"https://nivawealth.com/firms/cosmos-wealth-341781","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/341781","regulatoryAum":191452317,"crd":"341781","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6634409","suffix":null,"lastName":"CHAO","firstName":"ABIGAIL","middleName":"FLORES"},{"crd":"4591177","suffix":null,"lastName":"KEATING","firstName":"JEREMY","middleName":"LANDON"},{"crd":"6422247","suffix":null,"lastName":"MAUSER","firstName":"DANIEL","middleName":null},{"crd":"6386867","suffix":null,"lastName":"ROBINSON","firstName":"ROBERT","middleName":"B"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-136379","legalName":"Cosmos Wealth, LLC","displayName":"Cosmos 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BROCHURE","fee_rate_low":null,"fee_rate_high":1.2,"fee_negotiable":null,"minimum_account":null,"feeMinimumPeriod":"annual","fee_minimum_annual":1000},{"role":"other","program":"Hourly Financial Planning and Consulting","summary":"Financial planning and investment consulting are billed hourly, at a rate set by the complexity and scope of each engagement and agreed in writing in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058474","versionId":1058474,"submittedOn":"2026-09-21","documentName":"COSMOS WEALTH FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T18:17:13.390235+00:00","documents":[{"name":"COSMOS WEALTH FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058474","versionId":1058474,"submittedOn":"2026-09-21"}]},"custodians":[],"custodyNote":"Cosmos Wealth does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Matthew Swendiman","title":"Chief Compliance Officer","crd":"2849367"},{"name":"Jeremy Keating","title":"Managing Member","crd":"4591177"},{"name":"Daniel Mauser","title":"Managing Member","crd":"6422247"}],"ownership":[{"label":"Jeremy Keating","detail":"Managing member in the 50% to 75% ownership band and a control person, since February 2026."},{"label":"Daniel Mauser","detail":"Managing member in the 50% to 75% ownership band and a control person, since February 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"7596 Eads Avenue, Suite 111","city":"La Jolla","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"858-290-3300","stateRegisteredReps":2,"otherAdviserReps":2,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":31},{"label":"Non-exchange-traded equity securities","percent":2},{"label":"U.S. government/agency bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":63},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"21 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/341781/PDF/341781.pdf","brochureDate":"21 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058474","iapdCompiledDate":null,"retrievedDate":"15 October 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They include 28 individual clients, 22 high-net-worth individuals, and 10 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 21 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Cosmos Wealth offer?","answer":"Cosmos Wealth provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Cosmos Wealth charge?","answer":"Cosmos Wealth charges up to 1.20% a year for its Investment Management Services. The fee is billed in arrears and has a $1,000 annual minimum.","source":"COSMOS WEALTH FIRM BROCHURE, filed 21 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Cosmos Wealth have?","answer":"Cosmos Wealth has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Cosmos Wealth invest in?","answer":"At the end of its last fiscal year, Cosmos Wealth’s separately managed accounts held 63% registered funds (mutual funds, ETFs, BDCs), 31% exchange-traded equities, 3% U.S. government and agency bonds, 2% non-exchange-traded equities and 1% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Cosmos Wealth?","answer":"Cosmos Wealth’s direct owners are Jeremy Keating (50% to 75%) and Daniel Mauser (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 21 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Cosmos Wealth get paid?","answer":"Cosmos Wealth is paid through a percentage of assets under management and hourly charges. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Cosmos Wealth?","answer":"Cosmos Wealth’s main office is at 7596 Eads Avenue, Suite 111, La Jolla, CA 92037. Its phone number is 858-290-3300. Its website is cosmoswealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 21 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}