DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Zacks Investment Management, Inc.
Latest filing May 29, 2026
First filing on the tape Mar 30, 2012 · 22 filings
SEC status approved since Jan 17, 1992
RAUM
$15B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
31%
$4.5B individuals and HNW
Advisors
81
registered through the firm on IAPD
RAUM per advisor
$180M
derived; firm RAUM over IAPD count
Employees
132
11 advisory (5.B.1)
Offices
19
beyond the principal office
Private funds
2
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$15B as of May 29, 2026
May 24, 2012$2.0B then
HNW client RAUM$3.5B as of May 29, 2026
May 29, 2018$959M then
State-registered IARs (5.B.3)78 as of May 29, 2026
May 24, 20120 then
Employees (5.A)132 as of May 29, 2026
May 29, 201372 then
Private funds2 as of May 29, 2026
May 24, 20124 then
RAUM +74% over the last fiscal year+33% a year over threeIARs 67 to 78offices 20 to 19
Practice profile
derived from the filing of May 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $180MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 4.0derived20 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +4.5%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Wrap fee program
- $4.6BreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.5B43%
- Other investment advisers$2.4B30%
- Individuals$1.0B12%
- Investment companies$809M10.0%
- Pension and profit-sharing plans$175M2.2%
- Corporations and businesses$130M1.6%
- State and municipal entities$42.5M0.5%
- Charitable organizations$28.5M0.4%
- Pooled investment vehicles$14.1M0.2%
- Individual clients
- 2,051reported
- HNW clients
- 1,293reported
- Pension plan clients
- 111reported
- Charitable clients
- 2reported
- Accounts
- 12,368reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $6.5B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.31 fund_share=0.22 institutional_share=0.02 related_bd=true related_bank=false bd_reps=53.0derived
Advisors registered through the firm
81 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Aurelio Jazo | Chicago, Il | May 31, 2001 | 38 y | 0 |
| Christian Shaun Whittemore | Chicago, Il | Apr 25, 2002 | 25 y | 0 |
| Brian Gordon Langenkamp | Chicago, Il | Apr 30, 2004 | 29 y | 1 |
| Paula Jayne Sauer | Chicago, Il | Dec 14, 2004 | 36 y | 0 |
| Herbert Lawrence Brown | Orinda, Ca | Apr 21, 2006 | 27 y | 1 |
| Matthew Schaeffer | Hoboken, Nj | Jun 1, 2006 | 23 y | 2 |
| Joseph Bernard Peck | Jacksonville Beach, Fl | Oct 2, 2006 | 29 y | 1 |
| Wayne Edward Lockwood | Union, Wa | Oct 16, 2006 | 30 y | 4 |
| Randy Herman Leclair | Chicago, Il | Nov 10, 2006 | 36 y | 2 |
| Gregory Curtis Huffman | Chicago, Il | Mar 30, 2007 | 33 y | 2 |
| Manish Jain | Chicago, Il | Oct 9, 2007 | 31 y | 1 |
| David Allen Kecskes | Cincinnati, Oh | Jan 28, 2008 | 33 y | 3 |
| Frank Christopher Lanza | Chicago, Il | Feb 11, 2008 | 18 y | 0 |
| Jay Kevin Falini | Haddonfield, Nj | Sep 16, 2008 | 32 y | 1 |
| Alexander Wallace Insley | Chicago, Il | Jan 15, 2009 | 32 y | 2 |
| Timothy Carter Harper | Maitland, Fl | Apr 22, 2009 | 25 y | 2 |
| Christopher Michael Glass | Chicago, Il | Apr 27, 2009 | 20 y | 1 |
| Gregory Charles Murphy | Chicago, Il | Jul 10, 2009 | 27 y | 1 |
| Hugh Edward Ketchie | Raleigh, Nc | Jul 5, 2010 | 17 y | 0 |
| Jeffrey Clinton Haskin | Chicago, Il | Jan 12, 2011 | 19 y | 1 |
| David Alan Koty | Franklin, Tn | Aug 22, 2011 | 30 y | 2 |
| Richard Stone Delio | Fort Lauderdale, Fl | Feb 28, 2012 | 40 y | 1 |
| Gregory John Karolich | Chicago, Il | Oct 18, 2012 | 14 y | 1 |
| Roman Kobrin | Chicago, Il | Jan 9, 2015 | 14 y | 2 |
| David Meyers | Chicago, Il | May 20, 2015 | 12 y | 0 |
| Brian Ray Vandenheuvel | Chicago, Il | Jul 1, 2015 | 27 y | 0 |
| Scott D Sprandel | Chicago, Il | Aug 12, 2015 | 13 y | 0 |
| Stephen Scott Philip | Chicago, Il | Jun 3, 2016 | 23 y | 1 |
| Brian J Levy | Chicago, Il | Dec 12, 2016 | 17 y | 0 |
| Edward Ryan Kipp | Chicago, Il | Apr 6, 2017 | 12 y | 0 |
| Charles Kenneth Sherburne | Chicago, Il | May 18, 2017 | 29 y | 5 |
| Brian Nielsen Mulberry | Littleton, Co | Jan 22, 2018 | 18 y | 4 |
| Danielle Dale | Chicago, Il | May 1, 2018 | 10 y | 0 |
| Kevin Louis Antosz | Chicago, Il | May 9, 2018 | 13 y | 1 |
| Wayne Andrew Hoffman | Chicago, Il | Jun 7, 2018 | 27 y | 1 |
| Mitchell Francis Conley | Hermosa Beach, Ca | Jan 10, 2019 | 13 y | 0 |
| Koffi Antoine Toulaboe | Chicago, Il | Apr 2, 2019 | 16 y | 0 |
| Jared Wayne Napper | Chicago, Il | Jun 13, 2019 | 11 y | 0 |
| Noah Rife | Chicago, Il | Sep 9, 2019 | 11 y | 0 |
| Tracy K Martin | Chicago, Il | Oct 15, 2019 | 11 y | 0 |
Advisor movement
11 left, 14 joined in 12 months
net +3 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 14% of current headcount18 left over 36 months
Left, latest
- William Robert Pearce to Cibc Private Wealth Advisors, Inc.May 20, 2026 · RIA to affiliated broker-dealer or bank
- William Cady Edwards to Realta Investment Advisors, IncMay 20, 2026 · RIA to affiliated broker-dealer or bank
- James Scott Rose to Mercer Global Advisors Inc.Apr 13, 2026 · RIA to RIA
- James Bondar to Mercer Global Advisors Inc.Mar 18, 2026 · RIA to RIA
- Adam Michael Millman to MarinerMar 12, 2026 · RIA to affiliated broker-dealer or bank
- Briana-Capri Thadison to Assetmark, Inc.Feb 11, 2026 · RIA to affiliated broker-dealer or bank
- Kevin Jordan Graham to Cibc Private Wealth Advisors, Inc.Feb 6, 2026 · RIA to affiliated broker-dealer or bank
- Nicholas James Coccio to Virtus Investment Advisers, LLCJan 15, 2026 · Other
- Cort Leo Wagenberg to Oppenheimer & Co. Inc.Jan 9, 2026 · RIA to affiliated broker-dealer or bank
- Donald Richard Frank to Edelman Financial EnginesNov 4, 2025 · RIA to RIA
- Casper Merle Terpinski to Steward Partners Investment Advisory, LLCSep 26, 2025 · RIA to affiliated broker-dealer or bank
- Jake Solesky to Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 12, 2025 · RIA to wirehouse
- Christian John Horcher to Assetmark, Inc.Apr 4, 2025 · RIA to affiliated broker-dealer or bank
- Trent Allen Thorbahn to The Invictus Collective, LLCMar 14, 2024 · RIA to RIA
- Edwin A Janeczek to Altus Wealth Group, LLCFeb 29, 2024 · RIA to RIA
Joined, latest
- Reginald J Smith from J.P. Morgan Securities LLCAug 18, 2026 · Wirehouse to independent RIA
- Sandie Kay Rodda from LPL Financial LLCJul 20, 2026 · Affiliated broker-dealer or bank to independent RIA
- Nicholas James Demetral from Raymond James Financial Services Advisors, IncJun 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- Robert John Alessandro from Mcadam LLCApr 15, 2026 · RIA to RIA
- Tonio Crudele from Advisors Asset Management, Inc.Mar 26, 2026 · RIA to RIA
- Kurt Allan Petricek from Guggenheim InvestmentsFeb 11, 2026 · Other
- Lawrence David Zerg from Morgan Stanley Dw Inc.Jan 7, 2026 · Other
- Nicholas James Coccio from Ac Wealth PartnersDec 4, 2025 · RIA to RIA
- Kevin Leo Gaffey from Empower Advisory Group, LLCNov 28, 2025 · Affiliated broker-dealer or bank to independent RIA
- Seth Broderick Jennings from Fisher InvestmentsNov 6, 2025 · RIA to RIA
- Christopher Nicholas Wallack from Fisher InvestmentsOct 28, 2025 · RIA to RIA
- Sean Philbin from Wells Fargo AdvisorsOct 27, 2025 · Wirehouse to independent RIA
- James Scott Rose from Bluespring Wealth Management, LLCSep 23, 2025 · RIA to RIA
- Donald Richard Frank from Fisher InvestmentsSep 23, 2025 · RIA to RIA
- Adam Michael Millman from Fisher InvestmentsAug 6, 2025 · RIA to RIA
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Zacks Strategies II | Hedge Fund | $7.5M | 3 | Mar 30, 2012 |
| Zacks Panther Fund LP | Hedge Fund | $6.5M | 2 | May 29, 2015 |
| Zacks Limited Partnershipno longer reported | Hedge Fund | $5.1M | 3 | Mar 30, 2012 |
| Zacks Market Neutral Limited Partnership 2008no longer reported | Hedge Fund | $4.9M | 1 | Mar 30, 2012 |
| Zacks Limited Partnershipno longer reported | Hedge Fund | $4.5M | 1 | May 29, 2018 |
| Zacks Long Shortno longer reported | Hedge Fund | $793,699 | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Christopher Frank Lanza · Chief Compliance Officercontrolsince 09/2008 · owns less than 5%
- Eugene Donald Ralph · Chief Financial Officercontrolsince 01/2011 · owns less than 5%
- Harvey Leonard Zacks · Directorcontrolsince 02/1995 · owns less than 5%
- Ethan Mitchel Zacks · Presidentcontrolsince 07/2019 · owns less than 5%
- Ina Francine Zacks · Trusteesince 06/2000 · owns F of The Greenwood Trust
Entity owners
- Zacks Investment Research, Inc. · Sole Shareholderdirect · owns 75% or more
- The Greenwood Trust · Shareholderindirect · owns 75% or more of Zacks Investment Research, Inc.
Related persons
Schedule D 7.A
- Lbmz Securities, Inc.broker-dealern
- Zacks & Associates LLCinsurancen
- Zacks Investment Researchpooled vehicle sponsory
- Zacks Panther Fund Gp, LLCpooled vehicle sponsorn
Advisers that list Zacks Investment Management, Inc. as a related person
- 333798 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 81 | 16 | 7 | ||
| Fort Lauderdale, Fl | 2 | 1 | 0 | ||
| St Louis, Mo | 1 | 1 | 1 | ||
| Houston, Tx | 0 | 0 | 1 | ||
| Mckinney, Tx | 0 | 0 | 1 | ||
| Maple Grove, Mn | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Alexandria, VA
- Atlanta, GA
- Boca Raton, FL
- Boston, MA
- Cincinnati, OH
- Dallas, TX
- Denver, CO
- Houston, TX
- Indianapolis, IN
- La Jolla, CA
- Los Angeles, CA
- Minneapolis, MN
- New York, NY
- Omaha, NE
- Orlando, FL
- Phoenix, AZ
- Salt Lake City, UT
- San Francisco, CA
- Seattle, WA
What changed
consecutive filings, newest first
- Accounts · 12,050 to 12,368May 29, 2025 to May 29, 2026
- BD registered reps · 42 to 53May 29, 2025 to May 29, 2026
- Charity clients · 1 to 2May 29, 2025 to May 29, 2026
- Corporate clients · 92 to 79May 29, 2025 to May 29, 2026
- HNW clients · 1,246 to 1,293May 29, 2025 to May 29, 2026
- Individual clients · 2,072 to 2,051May 29, 2025 to May 29, 2026
- Pension plan clients · 161 to 111May 29, 2025 to May 29, 2026
- Pooled vehicle clients · 5 to 2May 29, 2025 to May 29, 2026
- Employees · 122 to 132May 29, 2025 to May 29, 2026
- State-registered IARs · 75 to 78May 29, 2025 to May 29, 2026
- Discretionary RAUM · $12B to $15BMay 29, 2025 to May 29, 2026
- HNW RAUM · $3.1B to $3.5BMay 29, 2025 to May 29, 2026
- Individual RAUM · $914M to $1.0BMay 29, 2025 to May 29, 2026
- Pension RAUM · $282M to $175MMay 29, 2025 to May 29, 2026
- Pooled vehicle RAUM · $23.0M to $14.1MMay 29, 2025 to May 29, 2026
- RAUM · $12B to $15BMay 29, 2025 to May 29, 2026
- Wrap assets (manager) · $5.6B to $6.5BMay 29, 2025 to May 29, 2026
- Accounts · 11,373 to 12,050May 29, 2024 to May 29, 2025
- BD registered reps · 48 to 42May 29, 2024 to May 29, 2025
- Corporate clients · 81 to 92May 29, 2024 to May 29, 2025
- HNW clients · 1,134 to 1,246May 29, 2024 to May 29, 2025
- Individual clients · 2,067 to 2,072May 29, 2024 to May 29, 2025
- Pension plan clients · 235 to 161May 29, 2024 to May 29, 2025
- Pooled vehicle clients · 6 to 5May 29, 2024 to May 29, 2025
- Employees · 111 to 122May 29, 2024 to May 29, 2025
- Financial planning clients · 26-50 to 26-50May 29, 2024 to May 29, 2025
- State-registered IARs · 70 to 75May 29, 2024 to May 29, 2025
- Discretionary RAUM · $11B to $12BMay 29, 2024 to May 29, 2025
- HNW RAUM · $2.5B to $3.1BMay 29, 2024 to May 29, 2025
- Individual RAUM · $938M to $914MMay 29, 2024 to May 29, 2025
- Pension RAUM · $394M to $282MMay 29, 2024 to May 29, 2025
- Pooled vehicle RAUM · $23.2M to $23.0MMay 29, 2024 to May 29, 2025
- RAUM · $11B to $12BMay 29, 2024 to May 29, 2025
- Wrap assets (manager) · $3.4B to $5.6BMay 29, 2024 to May 29, 2025
- Accounts · 7,545 to 11,373May 25, 2023 to May 29, 2024
- Advisory employees · 15 to 11May 25, 2023 to May 29, 2024
- BD registered reps · 46 to 48May 25, 2023 to May 29, 2024
- Charity clients · 2 to 1May 25, 2023 to May 29, 2024
- Corporate clients · 5 to 81May 25, 2023 to May 29, 2024
- HNW clients · 885 to 1,134May 25, 2023 to May 29, 2024
Signals
29 dated events
- William Cady Edwards left Zacks Investment Management, Inc. for Realta Investment Advisors, Inc (registered 2026-05-29)May 20, 2026 · Advisor changed firm · fact
- William Robert Pearce left Zacks Investment Management, Inc. for Cibc Private Wealth Advisors, Inc. (registered 2026-05-29)May 20, 2026 · Advisor changed firm · fact
- James Scott Rose left Zacks Investment Management, Inc. for Mercer Global Advisors Inc. (registered 2026-04-28)Apr 13, 2026 · Advisor changed firm · fact
- James Bondar left Zacks Investment Management, Inc. for Mercer Global Advisors Inc. (registered 2026-04-09)Mar 18, 2026 · Advisor changed firm · fact
- Adam Michael Millman left Zacks Investment Management, Inc. for Mariner (registered 2026-03-31)Mar 12, 2026 · Advisor changed firm · fact
- Briana-Capri Thadison left Zacks Investment Management, Inc. for Assetmark, Inc. (registered 2026-02-17)Feb 11, 2026 · Advisor changed firm · fact
- Kevin Jordan Graham left Zacks Investment Management, Inc. for Cibc Private Wealth Advisors, Inc. (registered 2026-02-04)Feb 6, 2026 · Advisor changed firm · fact
- Nicholas James Coccio left Zacks Investment Management, Inc. for Virtus Investment Advisers, Llc (registered 2026-01-20)Jan 15, 2026 · Advisor changed firm · fact
- Cort Leo Wagenberg left Zacks Investment Management, Inc. for Oppenheimer & Co. Inc. (registered 2026-01-21)Jan 9, 2026 · Advisor changed firm · fact
- Donald Richard Frank left Zacks Investment Management, Inc. for Edelman Financial Engines (registered 2025-11-13)Nov 4, 2025 · Advisor changed firm · fact
- Casper Merle Terpinski left Zacks Investment Management, Inc. for Steward Partners Investment Advisory, Llc (registered 2025-08-28)Sep 26, 2025 · Advisor changed firm · fact
- Jake Solesky left Zacks Investment Management, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-10-28)Sep 12, 2025 · Advisor changed firm · fact
- Christian John Horcher left Zacks Investment Management, Inc. for Assetmark, Inc. (registered 2025-04-23)Apr 4, 2025 · Advisor changed firm · fact
- Zacks Investment Management, Inc. reported RAUM $10.6B, up 26% from $8.4B (2023-05-25 to 2024-05-29)May 29, 2024 · RAUM change · derived
- Trent Allen Thorbahn left Zacks Investment Management, Inc. for The Invictus Collective, Llc (registered 2024-02-21)Mar 14, 2024 · Advisor changed firm · fact
- Edwin A Janeczek left Zacks Investment Management, Inc. for Altus Wealth Group, Llc (registered 2024-01-10)Feb 29, 2024 · Advisor changed firm · fact
- Jacob Thomas Jablonski left Zacks Investment Management, Inc. for Creekmur Asset Management, Llc (registered 2023-11-22)Nov 29, 2023 · Advisor changed firm · fact
- Michael Stuart Petrucelli left Zacks Investment Management, Inc. for Advisors Asset Management, Inc. (registered 2023-09-20)Nov 7, 2023 · Advisor changed firm · fact
- Alexander M Przybylo left Zacks Investment Management, Inc. for Morgan Stanley (registered 2023-09-01)Oct 5, 2023 · Advisor changed firm · fact
- Bryan Matthew Bach left Zacks Investment Management, Inc. for Churchill Management Group (registered 2023-10-02)Aug 10, 2023 · Advisor changed firm · fact
- Dylan Frank Patrick Younce left Zacks Investment Management, Inc. for Mariner (registered 2023-05-19)May 18, 2023 · Advisor changed firm · fact
- Joseph Glenn Maxey left Zacks Investment Management, Inc. for Trademark Capital Management Inc. (registered 2022-11-22)Dec 6, 2022 · Advisor changed firm · fact
- Zacks Investment Management, Inc. reported RAUM $7.8B, up 26% from $6.2B (2021-08-02 to 2022-05-27)May 27, 2022 · RAUM change · derived
- Kelly G Hammond left Zacks Investment Management, Inc. for Northern Trust Investments, Incorporated (registered 2022-04-25)Apr 27, 2022 · Advisor changed firm · fact
- Charles R Miller left Zacks Investment Management, Inc. for Orion Portfolio Solutions, Llc (registered 2022-02-08)Jan 7, 2022 · Advisor changed firm · fact
- Zacks Investment Management, Inc. reported 20 offices beyond its principal office, up from 0 (2021-05-28 to 2021-08-02)Aug 2, 2021 · Office count change · derived
- Zacks Investment Management, Inc. reported RAUM $6.2B, up 37% from $4.5B (2020-06-30 to 2021-05-28)May 28, 2021 · RAUM change · derived
- Ethan Mitchel Zacks (President) appeared on Schedule A of Zacks Investment Management, Inc.May 29, 2020 · Control person joined · fact
- Laib Benjamin Zacks (President) no longer on Schedule A of Zacks Investment Management, Inc. (listed 2019-05-29, absent 2020-05-29)May 29, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- support@zacksintelligence.comreportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/zacks-investment-management/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- zacksintelligence.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-265-9266reportedpublic record, Form ADV, May 29, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $180Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026