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ZEGA FINANCIAL, LLC

PALM BEACH GARDENS, FL · CRD 156803 · IAPD ↗ · zegafinancial.com · 800-380-9342

$4.55BRegulatory AUM
14Advisory reps
16Employees
3Clients
0Planning clients
0Private funds
3States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

55
February 2025 — ZEGA FINANCIAL, LLC (PALM BEACH GARDENS, FL) left the SEC roster (was $4.55B RAUM, 14 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
64
September 2024 — ZEGA FINANCIAL, LLC reported RAUM up 74% ($2.61B -> $4.55B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
55
April 2024 — ZEGA FINANCIAL, LLC added office(s): 1 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
75
April 2024 — ZEGA FINANCIAL, LLC grew from 9 to 14 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
85
April 2024 — ZEGA FINANCIAL, LLC crossed $1B in regulatory AUM ($513.4M -> $2.61B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.