Steven R. Cowley

ONE CAPITAL MANAGEMENT

Westlake Village, CA 91361

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CRD#: 1580108

Professional summary

Steven Robert Cowley is a registered financial advisor currently at ONE CAPITAL MANAGEMENT, LLC located in Westlake Village, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Steven has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

PARTNER WITH ONE CAPITAL MANAGEMENT, WHERE MY SERIES 65 IS MAINTAINED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Robert Cowley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 21, 2004 - Present

ONE CAPITAL MANAGEMENT, LLC

Office #1: 3075 Townsgate Road Suite 350, Westlake Village, CA 91361

RIA

CRD#: 114861

Westlake Village, CA

Past

May 19, 2004 - April 17, 2008

CASCADE FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 119030

DENVER, CO

Past

May 18, 2004 - May 14, 2009

CASCADE FINANCIAL MANAGEMENT, INC.

CRD#: 119030

DENVER, CO

Past

January 3, 2003 - January 15, 2004

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

LOS ANGELES , CA

Past

January 3, 2003 - January 15, 2004

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

March 18, 1996 - January 3, 2003

CIBC WORLD MARKETS CORP.

RIA

CRD#: 630

LOS ANGELES, CA

Past

November 16, 1995 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

October 24, 1986 - May 1, 1992

FIRST SECURITY INVESTOR SERVICES, INC.

CRD#: 15515

SALT LAKE CITY, UT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ONE CAPITAL MANAGEMENT, LLC

FUNDX, A DIVISION OF ONE CAPITAL MANAGEMENT, LLC | ONE CAPITAL MANAGEMENT, LLLP | ONE CAPITAL MANAGEMENT, LLC

CRD#: 114861 / SEC#: 801-60483

RIA

Registered Investment Advisory firm - (11/5/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/21/2004)

IAR

Texas
(4/13/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/31/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/28/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/14/1995

General Securities Representative Examination

Current Firm

ONE CAPITAL MANAGEMENT, LLC

FUNDX, A DIVISION OF ONE CAPITAL MANAGEMENT, LLC | ONE CAPITAL MANAGEMENT, LLLP | ONE CAPITAL MANAGEMENT, LLC

CRD#: 114861 / SEC#: 801-60483

RIA

Registered Investment Advisory firm - (11/5/2001 Approved)

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Contact information

Main Address

3075 Townsgate Road Suite 350, Westlake Village, CA 91361

Mailing Address

Phone number

(805) 409-8150

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OCM FORM ADV PART 2A NOVEMBER 14, 2025 (11/14/2025)

Regulatory assets under management

Total Number of Accounts	8,302
AUM (Assets Under Management)	$ 7,002,823,758

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/17/2025	Cover Page	Report
04/16/2024	Cover Page	Report
02/12/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Steven R. Cowley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Robert Cowley's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASCADE FINANCIAL MANAGEMENT, INC.

CASCADE FINANCIAL MANAGEMENT, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

FIRST SECURITY INVESTOR SERVICES, INC.

Primary Firm SEC Registration

ONE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/1996

Series 63

Date: 11/28/1995

Series 7

Date: 11/14/1995

Current Firm

ONE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ONE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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