Richard M. Cott

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CRD#: 2241982

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Michael Cott, who also goes by Rick Cott, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Cott

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.

I am the Founder and CIO of 3 C Family LLC (start date 11/19/2021) and CEO and a Managing Partner of Kova Capital LLC (start date 9/1/2021). The address of both LLCs is 18893 WildBlue Blvd. Fort Myers, FL 33913. The businesses are used for investing of both mine and my families' capital. The investing can be done by me personally and a third-party advisor. I spend approximately 10 hours each month on the activities related to the LLCs all outside of securities trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 6, 2023 - January 8, 2025

KARPUS INVESTMENT MANAGEMENT

RIA

CRD#: 110275

NAPLES, FL

Past

April 11, 2019 - May 21, 2020

VESTA ADVISORS LLC

RIA

CRD#: 297420

LOWER GWYNEDD, PA

Past

January 25, 2010 - September 20, 2013

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

CLEVELAND, OH

Past

January 21, 2010 - September 20, 2013

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

CLEVELAND, OH

Past

June 21, 2005 - May 13, 2009

WELLSPRING WEALTH MANAGEMENT LLC

RIA

CRD#: 134834

ATLANTA, GA

Past

May 20, 2004 - March 9, 2009

MEADOWBROOK SECURITIES LLC

CRD#: 10578

CHAGRIN FALLS, OH

Past

March 18, 2003 - October 3, 2003

OSAIC FA, INC.

RIA

CRD#: 3978

CLEVELAND, OH

Past

March 13, 2003 - October 3, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

March 13, 2003 - October 3, 2003

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

November 5, 1992 - January 11, 1999

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

June 2, 1992 - October 29, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

KARPUS INVESTMENT MANAGEMENT

INVESTMENT ADVISOR | KARPUS MANAGEMENT INC | KARPUS INVESTMENT MANAGEMENT

CRD#: 110275 / SEC#: 801-29607

RIA

Registered Investment Advisory firm - (3/5/1987 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 2/27/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/18/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/11/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/1/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KARPUS INVESTMENT MANAGEMENT

INVESTMENT ADVISOR | KARPUS MANAGEMENT INC | KARPUS INVESTMENT MANAGEMENT

CRD#: 110275 / SEC#: 801-29607

RIA

Registered Investment Advisory firm - (3/5/1987 Approved)

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Contact information

Main Address

183 Sully's Trail, Pittsford, NY 14534

Mailing Address

Phone number

(585) 586-4680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KARPUS INVESTMENT MANAGEMENT (9/26/2025)

Regulatory assets under management

Total Number of Accounts	2,279
AUM (Assets Under Management)	$ 4,010,769,565

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.

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Advisor Monitoring

Firm Stability Insights

Richard M. Cott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VESTA ADVISORS LLC

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

WELLSPRING WEALTH MANAGEMENT LLC

MEADOWBROOK SECURITIES LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

KARPUS INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/2023

Series 63

Date: 8/18/2004

Series 7

Date: 3/11/2003

Series 6

Date: 6/1/1992

Current Firm

KARPUS INVESTMENT MANAGEMENT

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KARPUS INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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