DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

ZIMMERMANN ALAN L

CRD 106286

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7b2df7b9-438f-39b4-ac18-a96d7ce7b49a

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Feb 24, 2012 to Mar 17, 2026
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $209MItem 5.F on the latest filing (2026-03-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $209M
Private client RAUM: $209MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 21
Individual clients: 1
High net worth clients: 20
Custody, client assets: $16.3M
SEC number: 801-45566
CRD: 106286
Filings on the tape: 17
First filed: Feb 24, 2012
Latest filed: Mar 17, 2026
Organised: Sole Proprietorship, FL

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ZIMMERMANN, ALAN, LEWIS	OWNER/CHIEF COMPLIANCE OFFICER	E	yes	01/1992	Feb 24, 2012	Nov 7, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 17, 2026	$209M	$209M	1	1	0	n/a	n/a
2024	Feb 26, 2025	$190M	$190M	1	1	0	n/a	n/a
2023	Mar 8, 2024	$167M	$167M	481	1	0	n/a	n/a
2022	Mar 16, 2023	$159M	$159M	1	1	0	n/a	n/a
2021	Mar 17, 2022	$199M	$199M	1	1	0	n/a	n/a
2020	Mar 17, 2021	$201M	$201M	1	1	0	n/a	n/a
2019	Mar 25, 2020	$183M	$183M	1	1	1	n/a	n/a
2018	Mar 15, 2019	$162M	$162M	1	1	0	n/a	n/a
2017	Mar 14, 2018	$175M	$175M	1	1	0	n/a	n/a
2016	Mar 20, 2017	$163M	$163M	1	1	n/a	n/a	n/a
2015	Mar 16, 2016	$154M	$154M	1	1	n/a	n/a	n/a
2014	Mar 13, 2015	$157M	$157M	1	1	n/a	n/a	n/a
2013	Mar 11, 2014	$157M	$157M	1	1	n/a	n/a	n/a
2012	Mar 20, 2013	$128M	$128M	1	1	n/a	n/a	n/a
2011	Feb 24, 2012	$94.7M	$94.7M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$209M	$190M	10.2%	$159M	9.7%	1	1	0	0

Relationships

Controls (1)

← ZIMMERMANN, ALAN, LEWISOwnerOWNER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 24, 2012 to Nov 7, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7b2df7b9-438f-39b4-ac18-a96d7ce7b49a
First observed: Feb 24, 2012
Last observed: Mar 17, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ZIMMERMANN ALAN L

CRD 106286

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7b2df7b9-438f-39b4-ac18-a96d7ce7b49a

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:20 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ZIMMERMANN, ALAN, LEWIS

OWNER/CHIEF COMPLIANCE OFFICER

yes

01/1992

Feb 24, 2012

Nov 7, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 17, 2026

$209M

n/a

2024

Feb 26, 2025

$190M

n/a

2023

Mar 8, 2024

$167M

481

n/a

2022

Mar 16, 2023

$159M

n/a

2021

Mar 17, 2022

$199M

n/a

2020

Mar 17, 2021

$201M

n/a

2019

Mar 25, 2020

$183M

n/a

2018

Mar 15, 2019

$162M

n/a

2017

Mar 14, 2018

$175M

n/a

2016

Mar 20, 2017

$163M

n/a

2015

Mar 16, 2016

$154M

n/a

2014

Mar 13, 2015

$157M

n/a

2013

Mar 11, 2014

$157M

n/a

2012

Mar 20, 2013

$128M

n/a

2011

Feb 24, 2012

$94.7M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$209M

$190M

10.2%

$159M

9.7%