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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

H.L. ZEVE ASSOCIATES, INC.

CRD 17427

PITTSBURGH, PA

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:c98f1e85-2063-feac-4020-a3ccfacc03e8

Data as of Sep 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2012 to Sep 27, 2012
2 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $324MItem 5.F on the latest filing (2012-09-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $322M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 833
SEC number: 801-21444
CRD: 17427
Filings on the tape: 2
First filed: Mar 21, 2012
Latest filed: Sep 27, 2012
Organised: Corporation, Pennsylvania

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
CALHOUN, JOANNE PATRICIA	Treasurer	Na	yes	05/1984	Mar 21, 2012	Sep 27, 2012
LEE, JAMES, STEPHEN	PRESIDENT & CHIEF COMPLIANCE OFFICER	C	yes	12/2001	Mar 21, 2012	Sep 27, 2012
ZEVE, HARVEY, LEE	Chairman	D	yes	12/2001	Mar 21, 2012	Sep 27, 2012

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
2011	Mar 21, 2012	$324M	$322M	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
2011	$324M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (3)

← CALHOUN, JOANNE PATRICIAOwnerTREASURER, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV
← LEE, JAMES, STEPHENOwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 21, 2012 to presentfactForm ADV
← ZEVE, HARVEY, LEEOwnerCHAIRMAN, ownership code D, individual
Mar 21, 2012 to presentfactForm ADV

Registered with (3)

← RONALD WILLIAM YOSTAdvisorregistration: previous registration
Dec 7, 2004 to Jan 14, 2013factForm ADV
← JAMES STEPHEN LEEAdvisorregistration: previous registration
Apr 29, 1996 to Jan 14, 2013factForm ADV
← KATHLEEN SEECH WRIGHTAdvisorregistration: previous registration
Aug 15, 2000 to Jan 22, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c98f1e85-2063-feac-4020-a3ccfacc03e8
First observed: Mar 21, 2012
Last observed: Sep 27, 2012 170 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.

H.L. ZEVE ASSOCIATES, INC.

CRD 17427

PITTSBURGH, PA

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:c98f1e85-2063-feac-4020-a3ccfacc03e8

Data as of Sep 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:05 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CALHOUN, JOANNE PATRICIA

Treasurer

yes

05/1984

Mar 21, 2012

Sep 27, 2012

LEE, JAMES, STEPHEN

PRESIDENT & CHIEF COMPLIANCE OFFICER

yes

12/2001

Mar 21, 2012

Sep 27, 2012

ZEVE, HARVEY, LEE

Chairman

yes

12/2001

Mar 21, 2012

Sep 27, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 21, 2012

$324M

$322M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$324M

n/a