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•••• I••••••••• L••
Latest filing May 29, 2026
First filing on the tape Nov 8, 2024 · 7 filings
SEC status approved since Dec 10, 2024
RAUM
$2
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$1
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$2 as of May 29, 2026
Jan 22, 2025$0 then
HNW client RAUM$0 as of May 29, 2026
Jan 22, 2025$0 then
State-registered IARs (5.B.3)4 as of May 29, 2026
Jan 22, 20250 then
Employees (5.A)10 as of May 29, 2026
Jan 22, 20254 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 4
Practice profile
derived from the filing of May 29, 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
- RAUM per advisor
- $1derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 0derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $2derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, subscription, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$2100%
- Individual clients
- 1reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- 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=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• E••••• G••••• | Chicago, Il | Mar 5, 2026 | 27 y | 2 |
| M•••• S•••• B••••• | Santa Barbara, Ca | Apr 20, 2026 | 44 y | 2 |
| A••••• D••••• M••••• | Chicago, Il | Apr 20, 2026 | 17 y | 2 |
| E•••• K•••••• G•••••• | Santa Barbra, Ca | Aug 11, 2026 | 12 y | 1 |
Advisor movement
0 left, 4 joined in 12 months
net +4 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- E•••• K•••••• G•••••• from C••••••••• W•••••• L••Aug 11, 2026 · RIA to RIA
- A••••• D••••• M••••• from C••••••••• W•••••• L••Apr 20, 2026 · RIA to RIA
- M•••• S•••• B••••• from C••••••••• W•••••• L••Apr 20, 2026 · RIA to RIA
- G••• E••••• G••••• from C•••••• W••••• A••••••• G••••Mar 5, 2026 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••••••• W•••••• L••May 15, 2026 · Overland Park, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• B••••• J•••• · Chief Executive Officercontrolsince 10/2024 · owns less than 5%
- O••••••••• J•••• F•••••• · Chief Compliance Officer & Chief Financial Officercontrolsince 10/2024 · owns less than 5%
- Z••••• F•••••••• I•• · Trusteesince 06/2000 · owns F of T•• G•••••••• T••••
Entity owners
- Z•••• I••••••••• R•••••••• I••• · Sole Memberdirect · owns 75% or more
- T•• G•••••••• T•••• · Shareholderindirect · owns 75% or more of Z•••• I••••••••• R•••••••• I•••
Related persons
Schedule D 7.A
- L••• S••••••••• I•••broker-dealern
- Z•••• • A••••••••• L••insurancen
- Z•••• I••••••••• M••••••••• I•••investment advisernRAUM $15B
- Z•••• I••••••••• R•••••••pooled vehicle sponsorn
- Z•••• P•••••• F••• G•• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 4 | 4 | 0 | ||
| Santa Barbara, Ca | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing May 29, 2026financial planning (Item 5.G.1): no on the filing of 2026-04-23, yes on the filing of 2026-05-29peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Advisory employees · 0 to 3Apr 23, 2026 to May 29, 2026
- Advisory activities · 2 to 3Apr 23, 2026 to May 29, 2026
- BD registered reps · 0 to 1Apr 23, 2026 to May 29, 2026
- Employees · 7 to 10Apr 23, 2026 to May 29, 2026
- Financial planning clients · to 0Apr 23, 2026 to May 29, 2026
- State-registered IARs · 0 to 4Apr 23, 2026 to May 29, 2026
- Accounts · 0 to 1Nov 17, 2025 to Feb 23, 2026
- Advisory activities · 1 to 2Nov 17, 2025 to Feb 23, 2026
- Individual clients · 0 to 1Nov 17, 2025 to Feb 23, 2026
- Discretionary RAUM · $0 to $2Nov 17, 2025 to Feb 23, 2026
- Individual RAUM · $0 to $2Nov 17, 2025 to Feb 23, 2026
- RAUM · $0 to $2Nov 17, 2025 to Feb 23, 2026
- Employees · 4 to 7Jan 22, 2025 to May 29, 2025
- Financial planning clients · unset to Jan 22, 2025 to May 29, 2025
- Accounts · unset to 0.0Nov 8, 2024 to Jan 22, 2025
- Discretionary RAUM · unset to 0.0Nov 8, 2024 to Jan 22, 2025
- Non-discretionary RAUM · unset to 0.0Nov 8, 2024 to Jan 22, 2025
- RAUM · unset to 0.0Nov 8, 2024 to Jan 22, 2025
Signals
2 dated events
- 2 advisors left C••••••••• W•••••• L•• (Overland Park, KS) for Z•••• I••••••••• L•• on the same dayMay 15, 2026 · Team lift-out · derived
- Z•••• I••••••••• L•• filed its initial SEC registration (Form ADV)Nov 8, 2024 · 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 email
- info@zackswp.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-767-3771reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/zacks-intelligencereportedpublic record, Form ADV, Sep 18, 2026
- Website
- zackswp.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (312)-265-9500reportedpublic record, Form ADV, May 29, 2026
- Contact form
- zackswp.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $1derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026