ZEPHYR WEALTH MANAGEMENT
ZEPHYR INVESTMENT MANAGEMENT, INC. Legal Name
Adviser information for ZEPHYR WEALTH MANAGEMENT last updated from Form ADV on March 14th, 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 | California, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 422 | $112.0M |
| Non-Discretionary | 232 | $229.5M |
| Total | 654 | $341.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 202 | $74.9M |
| HNW Individuals | 48 | $62.7M |
| 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 | 24 | $203.8M |
| 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 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-118365 |
|---|---|
| SEC ERA File Number | 801-118365 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 166303 |
| Legal Entity Identifier | None |
Principal Office
3625 E. THOUSAND OAKS BLVD.SUITE 145
WESTLAKE VILLAGE
CA
United States
Monday - Friday, 8:00 AM - 4:30 PM
Tel: (805) 496-6810, Fax: (805)-496-0630
Chief Compliance Officer
CHERYL MUNOZ
PRESIDENT
3625 E. THOUSAND OAKS BLVD.
SUITE 145
WESTLAKE VILLAGE
CA
United States
Tel:
(805) 496-6810
Fax:
805-496-0630
C*****@***********M
(Full email address available in API data)
Regulatory Contact
JANET SOWLES
OFFICE ADMINISTRATOR
3625 E. THOUSAND OAKS BLVD
SUITE 145
WESTLAKE VILLAGE
CA
United States
Tel:
(800) 966-3579
J******@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MUNOZ, CHERYL, ANN | Individual | – | PRESIDENT, CCO | 01/2013 | > 75% |