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.
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SEC-registered adviser
Z•• F••••••••• I•••
Latest filing Sep 2, 2026
First filing on the tape Nov 5, 2019 · 47 filings
SEC status approved since Dec 5, 2019
RAUM
$283M
reported, Item 5.F
Discretionary
42%
of RAUM
Private clients
100%
$283M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$40.5M
derived; firm RAUM over IAPD count
Employees
45
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$283M as of Aug 12, 2026
Jan 31, 2025$0 then
HNW client RAUM$88.9M as of Aug 12, 2026
Jan 27, 2020$0 then
State-registered IARs (5.B.3)10 as of Aug 12, 2026
Jan 27, 20202 then
Employees (5.A)45 as of Aug 12, 2026
Jan 27, 20202 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 7 to 10
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $40.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 230derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $103,119derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 42%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +43%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $283MreportedItem 5.I
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$195M69%
- High-net-worth individuals$88.9M31%
- Individual clients
- 1,579reported
- HNW clients
- 29reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,749reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• D••••• G••••• | New York, Ny | Aug 31, 2021 | 20 y | 1 |
| R••••• G•••Chartered Financial Analyst | New York, Ny | Jan 4, 2023 | 16 y | 1 |
| P•••••• K• B••••••••• | New York, Ny | Nov 18, 2024 | 12 y | 0 |
| M•••••• W••••• | New York, Ny | Jan 1, 2025 | 10 y | 0 |
| J••• R•••• B••••••••Certified Financial Planner | New York, Ny | Jan 14, 2025 | 10 y | 0 |
| C•••• M••• | New York, Ny | Oct 31, 2025 | 11 y | 1 |
| M•••• F•••••••• M•••• C••• | New York, Ny | Nov 6, 2025 | 10 y | 1 |
Advisor movement
3 left, 3 joined in 12 months
net 0 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 43% of current headcount3 left over 36 months
Left, latest
- L••• P•••• K•••• to T••••Sep 9, 2026 · RIA to RIA
- C••••• M•••• S•••••• to M••••• S••••••Jul 22, 2026 · RIA to wirehouse
- A•••••••• K••• to N••••••••• W••••• P•••••••• L••Mar 26, 2026 · Other
Joined, latest
- C••••• M•••• S•••••• from E•••••••• A•••••••• L••Dec 2, 2025 · Other
- M•••• F•••••••• M•••• C••• from C•••••• S••••• • C••• I•••Nov 6, 2025 · Other
- C•••• M••• from E•••••••• A•••••••• L••Oct 31, 2025 · Other
- R••••• G••• from R••••••••• I•••Jan 4, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• A•••••• D••••• · Ceocontrolsince 06/2016 · owns 25% to 50%
- A••••••••• A•••• J••• · Ccosince 09/2021 · owns less than 5%
Entity owners
- S• O••••••••• F••• L•• · Shareholder A-1 Preferreddirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Z•• S••••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 7 | 2 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Sep 2, 2026employees per registered advisor of 6.4 against a peer median of 1.2 (1314 comparable advisers, 100.0th percentile, 17.6 robust deviations)peers: independent wealth managers, $100M to $500M (1,314) · 100% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 12, 2026 to Sep 2, 2026
- Succession · false to unsetAug 12, 2026 to Sep 2, 2026
- Advisory activities · 3 to 4Apr 24, 2026 to May 29, 2026
- BD registered reps · 0 to 5Apr 24, 2026 to May 29, 2026
- Financial planning clients · to 0Apr 24, 2026 to May 29, 2026
- Accounts · 0 to 2,749Aug 22, 2025 to Mar 30, 2026
- Advisory activities · 1 to 3Aug 22, 2025 to Mar 30, 2026
- HNW clients · 0 to 29Aug 22, 2025 to Mar 30, 2026
- Individual clients · 0 to 1,579Aug 22, 2025 to Mar 30, 2026
- Employees · 37 to 45Aug 22, 2025 to Mar 30, 2026
- State-registered IARs · 7 to 10Aug 22, 2025 to Mar 30, 2026
- Discretionary RAUM · $0 to $118MAug 22, 2025 to Mar 30, 2026
- HNW RAUM · $0 to $88.9MAug 22, 2025 to Mar 30, 2026
- Individual RAUM · $0 to $195MAug 22, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $0 to $165MAug 22, 2025 to Mar 30, 2026
- RAUM · $0 to $283MAug 22, 2025 to Mar 30, 2026
- Financial planning clients · unset to Apr 30, 2025 to Jun 20, 2025
- Employees · 45 to 37Feb 18, 2025 to Apr 30, 2025
- State-registered IARs · 2 to 7Feb 18, 2025 to Apr 30, 2025
- Accounts · unset to 0.0Oct 29, 2024 to Jan 31, 2025
- Discretionary RAUM · unset to 0.0Oct 29, 2024 to Jan 31, 2025
- Non-discretionary RAUM · unset to 0.0Oct 29, 2024 to Jan 31, 2025
- RAUM · unset to 0.0Oct 29, 2024 to Jan 31, 2025
- Wrap assets (manager) · unset to 0.0Mar 13, 2024 to May 20, 2024
- Wrap assets (sponsor) · unset to 0.0Mar 13, 2024 to May 20, 2024
- Employees · 31 to 45Sep 25, 2023 to Mar 13, 2024
- State-registered IARs · 1 to 2Sep 25, 2023 to Mar 13, 2024
- Other offices · 1 to 0Jul 11, 2023 to Sep 5, 2023
- Related broker-dealer · false to trueMar 22, 2023 to Jul 11, 2023
- Employees · 26 to 31May 25, 2021 to Aug 11, 2021
- Employees · 2 to 26Feb 24, 2021 to May 21, 2021
- HQ city · unset to NEW YORKFeb 24, 2021 to May 21, 2021
- HQ state · unset to NYFeb 24, 2021 to May 21, 2021
- State-registered IARs · 2 to 1Feb 24, 2021 to May 21, 2021
- Other offices · 0 to 1Feb 24, 2021 to May 21, 2021
Signals
4 dated events
- L••• P•••• K•••• left Z•• F••••••••• I••• for Titan (registered 2026-09-09)Sep 9, 2026 · Advisor changed firm · fact
- C••••• M•••• S•••••• left Z•• F••••••••• I••• for M••••• S•••••• (registered 2026-08-24)Jul 22, 2026 · Advisor changed firm · fact
- A•••••••• K••• left Z•• F••••••••• I••• for N••••••••• W••••• P•••••••• L•• (registered 2026-02-24)Mar 26, 2026 · Advisor changed firm · fact
- Z•• F••••••••• I••• filed its initial SEC registration (Form ADV)Nov 5, 2019 · First SEC registration · fact
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 phone
- 646-680-9244reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/zoe-financial-inc.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- zoefinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-680-9244reportedpublic record, Form ADV, Sep 2, 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
- $40.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026