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Alexandre David Cohen

HEIGHTS
LOS ANGELES, CA
·CRD# 4813412·22 years experience

Professional Summary

Alexandre David Cohen, who also goes by Alexandre David Cohen, Alexandre Cohen, Alex Cohen, is a registered financial advisor currently at HEIGHTS LLC located in Los Angeles, California and HOLLISTER ASSOCIATES, LLC located in Los Angeles, California. Alexandre is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Alexandre has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, Series...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Alexandre David Cohen, Alexandre Cohen, Alex Cohen

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

22 years in the financial services industry

Current & Past Employments

HEIGHTS LLC·CRD# 315969
RIA
11111 Santa Monica Blvd Suite 2100, Los Angeles, CA 90025
October 20, 2021 - Present
HOLLISTER ASSOCIATES, LLC·CRD# 173366
BD
11111 Santa Monica Boulevard, Los Angeles, CA 90025
August 25, 2024 - Present
HOLLISTER ASSOCIATES, LLC·CRD# 173366
BD
Mount Pleasant, SC
July 18, 2021 - January 31, 2023
MSA SECURITIES, LLC·CRD# 150557
BD
Santa Monica, CA
March 4, 2010 - January 4, 2021
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
July 12, 2004 - July 12, 2007

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Current Firm

HL
HEIGHTS LLC

HEIGHTS LLC

CRD#: 315969 / SEC#: 801-128704
RIA
Registered Investment Advisory firm - SEC (9/11/2023 Approved)
California
Registered Investment Advisory firm - California (4/29/2025 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

11111 Santa Monica Blvd Suite 2100, Los Angeles, CA 90025

Phone Number

(310) 640-7647

# of Employees

3

SEC notice filing (1 States and Territories)

Registered to provide investment advisory services in 1 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A - MARCH 31 2026 (3/31/2026)

Regulatory Assets Under Management

Total Number of Accounts

14

AUM (Assets Under Management)

$239,198,370

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1) HEIGHTS CORP. - MANAGER OF LOS ANGELES HOLDING COMPANY FOR COHEN'S PART-OWNERSHIP IN HEIGHTS, LLC; ROLE IS TO PROVIDE MANAGEMENT SERVICES; DEVOTES LESS THAN 1 HOUR/MONTH TO ACTIVITY, MOSTLY DURING TRADING HOURS; NON-INVESTMENT RELATED BUSINESS. 2) HEIGHTS, LLC - CEO OF LOS ANGELES INVESTMENT ADVISER PROVIDING INVESTMENT SERVICES TO CLIENTS, STRATEGIC ADVIOSRY SERVICES TO COMPANIES AND CLIENTS, INVEST IN BUSINESSES, AND SERVING AS MANAGER TO PREVIOUSLY ESTABLISHED LLCS; ROLE IS TO MANAGE BUSINESS, PROVIDE ADVICE/SERVICES/INVESTMENT, AND HELP MANAGE LLCS; DEVOTES APPROXIMATELY 160 HOURS/MONTH ON ACTIVITY, MOST OF WHICH IS DURING TRADING HOURS; INVESTMENT-RELATED; STARTED MAY 2021. 3) HEIGHTS FUND l, GP, LLC - MANAGER FOR LOS ANGELES BASED GENERAL PARTNER TO LIMITED PARTNERSHIP (HEIGHTS FUND l, LP); ROLE IS TO CARRY GP DUTIES; DEVOTES APPROXIMATELY 1 HOUR/MONTH ON ACTIVITY, MOSTLY DURING TRADING HOURS; NON-INVESTMENT RELATED. 4) HEIGHTS FUND MANAGEMENT, LLC - MANAGER FOR LOS ANGELES BASED MANAGEMENT COMPANY TO THE HEIGHTS FUND l, LP. DEVOTES APPROXIMATELY 40 HOURS/MONTH ON ACTIVITY, MOST OF WHICH IS DURING TRADING HOURS; NON-INVESTMENT RELATED. 5) NES BUILDERS LP - MANAGER OF LOS ANGELES BASED LP ESTABLISHED FOR PERSONAL INVESTMENTS; ROLE TO MAKE PERSONAL INVESTMENTS; DEVOTES APPROXIMATELY 5 HOURS/MO, MOSTLY DURING TRADING HOURS; PERSONAL INVESMTENT RELATED. 6) ADOPT, LLC - SERVES ON BOARD OF DIRECTORS FOR PORTLAND, OR BASED MARKETING AGENCY; ROLE IS TO CARRYOUT BOARD DUTIES; DEVOTES LESS THAN 2 HOURS/MONTH OFTEN DURING TRADING HOURS; NON-INVESTMENT RELATED. 7) AFTER MARKET, INC. - SERVES ON BOARD OF DIRECTORS LOS ANGELES BASED CLOTHING COMPANY; ROLE IS TO CARROUT BOARD DUTIES; DEVOTES APPROXIMATELY 1 HOUR/MONTH TO ACTIVITY, WHICH MAY BE DURING TRADING HOURS; NON-INVESTMENT RELATED. 8) CLUTCH ATHLETICS - SERVES ON BOARD OF DIRECTORS FOR LOS ANGELES BASED APPAREL COMPANY; ROLE IS TO CARRYOUT BOARD DUTIES; DEVOTES LESS THAN 4 HOURS/MONTH TO ACTIVITY, SOME OF WHICH MAY BE DURING TRADING HOURS; NON-INVESTMENT RELATED. 9) HANA KUMA - SERVES ON BOARD OF DIRECTORS FOR LOS ANGELES BASED MEDIA COMPANY; ROLE IS TO CARRYOUT BOARD DUTIES; DEVOTES APPROXIMATELY 1 HOUR/MONTH TO ACTIVITY WHICH MAY BE DURING TRADING HOURS; NON-INVESTMENT RELATED. 10) WORKING CAPITAL PARTNERS, LLC - ADVISOR; LOS ANGELES, CA FINANCE PLATFORM; LENDING PLATFORM; ROLE IS TO REFER POTENTIAL CLIENTS; LESS THAN 1 HOUR/MONTH DEVOTED TO ACTIVITY, WHICH MAY BE DURING NORMAL TRADING MARKET HOURS; NON-INVESTMENT RELATED; STARTED 2026.

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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".
HL
HEIGHTS LLC

HEIGHTS LLC

CRD#: 315969 / SEC#: 801-128704
RIA
Registered Investment Advisory firm - SEC (9/11/2023 Approved)
California
Registered Investment Advisory firm - California (4/29/2025 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
IAR
California
(10/20/2021)
RR
California
(8/25/2024)
RR
New York
(10/9/2025)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2021About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2021About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2004About the Series 7 exam

Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination

Passed Sep 2009About the Series 28 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Alexandre David Cohen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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