Coker & Palmer, Inc.
- Regulatory AUM
- $126M
- Discretionary
- $126M
- Clients
- 216
- Avg AUM / client
- $585K
- Accounts
- 216
- Employees
- 8
AUM over time
Annual snapshots from Form ADV filings · as of Mar 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 173 | $36.8M | 29.2% |
| High net worth individuals | 40 | $73.8M | 58.5% |
| Investment companies | 2 | $543K | 0.43% |
| Charitable organizations | 1 | $100K | 0.08% |
| Other | Fewer than 5 clients | $15.0M | 11.9% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James David Coker | Chief Executive Officer / Chief Financial Operations Officer / Chief Legal Officer / Cco/President | CFA | Sep 1991 (35y) | 75% or more |
| Loreli Ann Ghee | Compliance Officer | Aug 2016 (10y) | Less than 5% | |
| Micheal Allen Byers | Principal | Oct 2021 (5y) | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/24/2026 | 1.29 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: SELLING COMMON STOCK WITHOUT BEING REGISTERED IN ILLINOIS Status: Final Sanction Detail: N/A Summary: CANNOT FILE FOR 4 YEARS FROM DATE OF CENSURE - COKER & PALMER IS NOW REGISTERED AND IN GOOD STANDING WITH THE STATE OF ILLINOIS
Allegations: FIRM CONDUCTED TRADING WITH 3 RESIDENTS OF NEW MEXICO WITHOUT PROPER REGISTRATION Status: Final Sanction Detail: FIRM NOW REGISTERED IN NEW MEXICO. CIVIL PENALTY PAID MAY 29, 2018 Summary: FIRM IS REGISTERED AND FINE HAS BEEN PAID
Allegations: FIRM EFFECTED TRADES FOR 3 ILLINOIS RESIDENTS WHILE NOT REGISTERED IN THE STATE. Status: Final Sanction Detail: FIRM MAY NOT REGISTER IN ILLINOIS UNTIL AFTER 6/19/2022.
Allegations: FIRM CONDUCTED TRADING WITH 3 RESIDENTS OF NEW MEXICO WITHOUT PROPER REGISTRATION. Status: Final Sanction Detail: FIRM NOW REGISTERED IN NEW MEXICO. CIVIL PENALTY PAID MAY 29, 2018.
Allegations: AT VARIOUS TIMES FROM AUG 23, 2010 THROUGH OCT 1, 2012, THE FIRM FAILED TO MAINTAIN ELECTRONIC CORRESPONDENCE OF ASSOCIATED PERSONS AND FAILED TO ESTABLISH AND MAINTAIN AN ADEQUATE SYSTEM AND PROCEDURES FOR THE PRESERVATION, MAINTENANCE AND REVIEW OF ELECTRONIC CORRESPONDENCE OF ITS ASSOCIATED PERSONS. IN ADDITION, DURING THE TIME PERIOD FROM NOV 1, 2013 THROUGH OCT 31, 2014, THE FIRM FAILED TO ENFORCE ITS WRITTEN PROCEDURES REGARDING DUE DILIGENCE CONDUCTED IN CONNECTION WITH PRIVATE PLACEMENT OFFERINGS AND FAILED TO ESTABLISH, MAINTAIN AND ENFORCE ADEQUATE WRITTEN PROCEDURES RELATING TO ITS PARTICIPATION IN CONTINGENCY OFFERINGS. Status: Final Sanction Detail: FINE OF $30,000 WILL BE PAID UPON RECEIPT OF INVOICE Summary: AWC
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 24, 2026.
View current Form ADV (SEC/IAPD) ↗