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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

ZURICH AWES FINANCIAL MANAGEMENT, INC.

CRD 121033

PLYMOUTH, MN

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:d21fc6bb-46cd-df2c-b6f3-de211be2aae7

Data as of Mar 29, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 15, 2012 to Mar 29, 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: $23.9MItem 5.F on the latest filing (2012-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $22.7M
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: 1
RAUM per advisor: $23.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 242
SEC number: 801-71590
CRD: 121033
Filings on the tape: 2
First filed: Mar 15, 2012
Latest filed: Mar 29, 2012
Organised: Corporation, Minnesota

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ZURICH THOR AWES	Certified Financial Planner	CHRISTIANSTED, VI	11	33	n/a	no

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
AWES, ZURICH, THOR	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	09/2000	Mar 15, 2012	Mar 29, 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 29, 2012	$23.9M	$22.7M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	1

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	$23.9M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (3)

← ZURICH THOR AWESAdvisorregistration: current employment
Nov 5, 2014 to presentfactForm ADV
← Andrew Thomas TrammellAdvisorregistration: previous registration
Dec 6, 2021 to Jul 15, 2025factForm ADV
← Terry Lee SwansonAdvisorregistration: previous registration
Jan 23, 2014 to Nov 17, 2021factForm ADV

Controls (1)

← AWES, ZURICH, THOROwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 15, 2012 to presentfactForm ADV

Dated events

Occurred
Jul 15, 2025
Advisor changed firm
Andrew Thomas Trammell left Zurich Awes Financial Management, Inc. for Trammell Wealth (registered 2025-08-22)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d21fc6bb-46cd-df2c-b6f3-de211be2aae7
First observed: Mar 15, 2012
Last observed: Mar 29, 2012 176 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.

ZURICH AWES FINANCIAL MANAGEMENT, INC.

CRD 121033

PLYMOUTH, MN

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:d21fc6bb-46cd-df2c-b6f3-de211be2aae7

Data as of Mar 29, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:30 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ZURICH THOR AWES

Certified Financial Planner

CHRISTIANSTED, VI

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AWES, ZURICH, THOR

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

09/2000

Mar 15, 2012

Mar 29, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 29, 2012

$23.9M

$22.7M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$23.9M

n/a