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
Zimmerman Wealth Management, LLC
Latest filing Aug 27, 2026
First filing on the tape Mar 29, 2012 · 21 filings
SEC status approved since Jul 14, 2003
RAUM
$472M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$472M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$78.7M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$472M as of Aug 27, 2026
Mar 29, 2012$151M then
HNW client RAUM$472M as of Aug 27, 2026
Mar 30, 2018$197M then
State-registered IARs (5.B.3)4 as of Aug 27, 2026
Apr 1, 20130 then
Employees (5.A)7 as of Aug 27, 2026
Apr 1, 20133 then
Private funds: no history
RAUM +5.6% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $78.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$472M100%
- Individuals$145,5660.0%
- Individual clients
- 9reported
- HNW clients
- 216reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 225reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Thomas H ZimmermanCertified Financial Planner | Evanston, Il | Jul 18, 2003 | 42 y | 1 |
| Marshall GarrettCertified Financial Planner | Evanston, Il | Mar 12, 2021 | 13 y | 0 |
| Daniel James WoodCertified Financial Planner, Chartered Financial Analyst | Evanston, Il | Mar 28, 2021 | 10 y | 0 |
| Mona Hope EdwardsCertified Financial Planner | Evanston, Il | Mar 29, 2021 | 18 y | 0 |
| John Samuel HarrisCertified Financial Planner | Evanston, Il | May 27, 2026 | 12 y | 2 |
| Sara Elisa HostaletCertified Financial Planner, Chartered Financial Analyst | Evanston, Il | Jun 4, 2026 | 15 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- John Samuel Harris from PathstoneMay 27, 2026 · RIA to RIA
- Thomas H Zimmerman from Mesirow Financial, Inc.Jul 18, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H Thomas Zimmerman · Managing Member, Chief Compliance Officercontrolsince 10/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Evanston, Il · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 6 to 7Mar 18, 2025 to Mar 25, 2026
- Discretionary RAUM · $435M to $468MMar 18, 2025 to Mar 25, 2026
- HNW RAUM · $421M to $472MMar 18, 2025 to Mar 25, 2026
- Individual RAUM · $74,992 to $145,566Mar 18, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $12.4M to $4.3MMar 18, 2025 to Mar 25, 2026
- Pension RAUM · 26613563.0 to unsetMar 18, 2025 to Mar 25, 2026
- RAUM · $447M to $472MMar 18, 2025 to Mar 25, 2026
- Accounts · 210 to 225Mar 18, 2025 to Mar 25, 2026
- Advisory activities · 3 to 2Mar 18, 2025 to Mar 25, 2026
- HNW clients · 202 to 216Mar 18, 2025 to Mar 25, 2026
- Individual clients · 6 to 9Mar 18, 2025 to Mar 25, 2026
- Pension plan clients · 2.0 to unsetMar 18, 2025 to Mar 25, 2026
- Employees · 7 to 6Mar 27, 2024 to Mar 18, 2025
- Accounts · 206 to 210Mar 27, 2024 to Mar 18, 2025
- HNW clients · 192 to 202Mar 27, 2024 to Mar 18, 2025
- Individual clients · 12 to 6Mar 27, 2024 to Mar 18, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2024 to Mar 18, 2025
- State-registered IARs · 5 to 4Mar 27, 2024 to Mar 18, 2025
- Discretionary RAUM · $387M to $435MMar 27, 2024 to Mar 18, 2025
- HNW RAUM · $365M to $421MMar 27, 2024 to Mar 18, 2025
- Individual RAUM · $632,124 to $74,992Mar 27, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $744,334 to $12.4MMar 27, 2024 to Mar 18, 2025
- Pension RAUM · $22.5M to $26.6MMar 27, 2024 to Mar 18, 2025
- RAUM · $388M to $447MMar 27, 2024 to Mar 18, 2025
- Accounts · 719 to 206Apr 13, 2023 to Mar 27, 2024
- Advisory employees · 4 to 5Apr 13, 2023 to Mar 27, 2024
- HNW clients · 182 to 192Apr 13, 2023 to Mar 27, 2024
- Individual clients · unset to 12.0Apr 13, 2023 to Mar 27, 2024
- Pension plan clients · 3 to 2Apr 13, 2023 to Mar 27, 2024
- Employees · 6 to 7Apr 13, 2023 to Mar 27, 2024
- State-registered IARs · 3 to 5Apr 13, 2023 to Mar 27, 2024
- Discretionary RAUM · $339M to $387MApr 13, 2023 to Mar 27, 2024
- HNW RAUM · $318M to $365MApr 13, 2023 to Mar 27, 2024
- Individual RAUM · unset to 632124.0Apr 13, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $371,114 to $744,334Apr 13, 2023 to Mar 27, 2024
- Pension RAUM · $21.2M to $22.5MApr 13, 2023 to Mar 27, 2024
- RAUM · $339M to $388MApr 13, 2023 to Mar 27, 2024
- Accounts · 649 to 719Mar 23, 2022 to Mar 24, 2023
- HNW clients · 165 to 182Mar 23, 2022 to Mar 24, 2023
- Discretionary RAUM · $340M to $339MMar 23, 2022 to Mar 24, 2023
Signals
No event on the tape.
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
- Website
- ZIMMERMANWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 847-556-3200reportedpublic record, Form ADV, Aug 27, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $78.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026