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ZOE FINANCIAL, INC.

NEW YORK, NY · CRD 285158 · IAPD ↗ · 646-680-9244

$283.5MRegulatory AUM
2Advisory reps
45Employees
20538Clients
0Planning clients
0Private funds
51States
4Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
October 2026 — ZOE FINANCIAL, INC.'s Item 11 disclosure-reporting entries rose by 4 (0 -> 4).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
78
June 2026 — ZOE FINANCIAL, INC. now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
50
June 2024 — ZOE FINANCIAL, INC. began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance

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