ZOE FINANCIAL, INC.
Adviser information for ZOE FINANCIAL, INC. last updated from Form ADV on March 13th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 45 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | REFERRAL SERVICE |
|---|---|
| Compensation | REFERRAL FEES |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-117745 |
|---|---|
| SEC ERA File Number | 801-117745 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285158 |
| Legal Entity Identifier | None |
Principal Office
666 THIRD AVE.6TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:00AM-6:00PM
Tel: 646-847-2106, Fax: N/A
Chief Compliance Officer
ANDREW ARMSTRONG
255 E FIFTH STREET
SUITE 1900
CINCINNATI
OH
United States
Tel:
513-832-5385
Fax:
N/A
A***************@*****************************M
(Full email address available in API data)
Industry Affiliates
| ZOE SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GARCIA, ANDRES, DANIEL | Individual | – | CEO | 06/2016 | 25-50% |
| ARMSTRONG, ANDY, JOHN | Individual | – | CCO | 09/2021 | < 5% |
| SB OPPORTUNITY FUND LLC | Domestic Entity | – | SHAREHOLDER A-1 PREFERRED | 04/2021 | 10-25% |