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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

ZOE FINANCIAL, INC.

CRD 285158

NEW YORK, NY

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:f5a2d8dd-ee35-5c76-d0db-6c84bfb24504

Data as of Sep 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 4
On other graphs: 0
Observed: Nov 5, 2019 to Sep 2, 2026
47 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=true related_bank=false bd_reps=5.0
Regulatory AUM: $283MItem 5.F on the latest filing (2026-09-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $118M
Private client RAUM: $283MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $40.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 45
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2,749
Individual clients: 1,579
High net worth clients: 29
SEC number: 801-117745
CRD: 285158
Filings on the tape: 47
First filed: Nov 5, 2019
Latest filed: Sep 2, 2026
Organised: Corporation, DE

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
ANDRES DANIEL GARCIA	n/a	NEW YORK, NY	5	20	1	no
RAJESH GAUR	Chartered Financial Analyst	NEW YORK, NY	3	16	1	yes
Preston K Buhrmaster	n/a	NEW YORK, NY	1	12	n/a	no
Matthew Wiener	n/a	NEW YORK, NY	1	10	n/a	no
John Reece Benevides	Certified Financial Planner	NEW YORK, NY	1	10	n/a	no
Corey Moon	n/a	NEW YORK, NY	0	11	1	yes
Mason Friedrick Maves Coon	n/a	NEW YORK, NY	0	10	1	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
GARCIA, ANDRES, DANIEL	Ceo	C	yes	06/2016	Nov 5, 2019	Oct 29, 2024
ARMSTRONG, ANDY, JOHN	Cco	Na	no	09/2021	Sep 17, 2021	Oct 29, 2024
SB OPPORTUNITY FUND LLC	SHAREHOLDER A-1 PREFERRED	B	no	04/2021	Sep 19, 2023	Oct 29, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ZOE SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a

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; showing 7 of 10

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 24, 2026	$283M	$118M	45	2	0	n/a	n/a
2024	Apr 30, 2025	$0	$0	37	2	0	n/a	n/a
2023	Mar 13, 2024	n/a	n/a	45	2	0	n/a	n/a
2022	Mar 3, 2023	n/a	n/a	31	2	1	n/a	n/a
2021	Mar 27, 2022	n/a	n/a	31	2	1	n/a	n/a
2020	Feb 24, 2021	n/a	n/a	2	2	0	n/a	n/a
2019	Jan 27, 2020	n/a	n/a	2	2	0	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
3	3	0	42.9%	0	2	0	3	3

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	$283M	$0	n/a	n/a	n/a	45	37	0	0

Relationships

Registered with (10)

← Mason Friedrick Maves CoonAdvisorregistration: current employment
Nov 6, 2025 to presentfactForm ADV
← Corey MoonAdvisorregistration: current employment
Oct 31, 2025 to presentfactForm ADV
← John Reece BenevidesAdvisorregistration: current employment
Jan 14, 2025 to presentfactForm ADV
← Matthew WienerAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← Preston K BuhrmasterAdvisorregistration: current employment
Nov 18, 2024 to presentfactForm ADV
← RAJESH GAURAdvisorregistration: current employment
Jan 4, 2023 to presentfactForm ADV
← ANDRES DANIEL GARCIAAdvisorregistration: previous registration
Aug 21, 2019 to Jan 31, 2020factForm ADV
← Lily Paige KrausAdvisorregistration: previous registration
May 15, 2025 to Sep 9, 2026factForm ADV
← Cassie Marie StancilAdvisorregistration: previous registration
Dec 2, 2025 to Jul 22, 2026factForm ADV
← Alexander KempAdvisorregistration: previous registration
Sep 30, 2024 to Mar 26, 2026factForm ADV

Owns (2)

← ARMSTRONG, ANDY, JOHNOwnerCCO, ownership code NA, individual
Sep 17, 2021 to Oct 29, 2024factForm ADV
← SB OPPORTUNITY FUND LLCOwnerSHAREHOLDER A-1 PREFERRED, ownership code B, domestic entity
Sep 19, 2023 to Oct 29, 2024factForm ADV

Controls (1)

← GARCIA, ANDRES, DANIELOwnerCEO, ownership code C, individual
Nov 5, 2019 to Oct 29, 2024factForm ADV

Dated events

Occurred
Sep 9, 2026
Advisor changed firm
Lily Paige Kraus left Zoe Financial, Inc. for Titan (registered 2026-09-09)
Form ADVobserved 4 days ago
Occurred
Jul 22, 2026
Advisor changed firm
Cassie Marie Stancil left Zoe Financial, Inc. for Morgan Stanley (registered 2026-08-24)
Form ADVobserved 4 days ago
Occurred
Mar 26, 2026
Advisor changed firm
Alexander Kemp left Zoe Financial, Inc. for Nerdwallet Wealth Partners, Llc (registered 2026-02-24)
Form ADVobserved 4 days ago
Occurred
Nov 5, 2019
First Form ADV filing
Zoe Financial, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f5a2d8dd-ee35-5c76-d0db-6c84bfb24504
First observed: Nov 5, 2019
Last observed: Sep 2, 2026 17 days 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.

ZOE FINANCIAL, INC.

CRD 285158

NEW YORK, NY

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:f5a2d8dd-ee35-5c76-d0db-6c84bfb24504

Data as of Sep 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:30 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ANDRES DANIEL GARCIA

n/a

NEW YORK, NY

RAJESH GAUR

Chartered Financial Analyst

NEW YORK, NY

yes

Preston K Buhrmaster

n/a

NEW YORK, NY

n/a

Matthew Wiener

n/a

NEW YORK, NY

n/a

John Reece Benevides

Certified Financial Planner

NEW YORK, NY

n/a

Corey Moon

n/a

NEW YORK, NY

yes

Mason Friedrick Maves Coon

n/a

NEW YORK, NY

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GARCIA, ANDRES, DANIEL

Ceo

yes

06/2016

Nov 5, 2019

Oct 29, 2024

ARMSTRONG, ANDY, JOHN

Cco

09/2021

Sep 17, 2021

Oct 29, 2024

SB OPPORTUNITY FUND LLC

SHAREHOLDER A-1 PREFERRED

04/2021

Sep 19, 2023

Oct 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ZOE SECURITIES LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 24, 2026

$283M

$118M

n/a

2024

Apr 30, 2025

n/a

2023

Mar 13, 2024

n/a

2022

Mar 3, 2023

n/a

2021

Mar 27, 2022

n/a

2020

Feb 24, 2021

n/a

2019

Jan 27, 2020

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

42.9%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$283M

n/a