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ZEGA INVESTMENTS, LLC

PALM BEACH GARDENS, FL · CRD 330428 · IAPD ↗ · luckinbillfinancial.com · 800.380.9342

$614.0MRegulatory AUM
10Advisory reps
10Employees
3Clients
1-10Planning clients
0Private funds
36States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
April 2026 — ZEGA INVESTMENTS, LLC added office(s): 5 -> 9 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
April 2026 — ZEGA INVESTMENTS, LLC reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
53
December 2025 — ZEGA INVESTMENTS, LLC added office(s): 0 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
58
December 2025 — ZEGA INVESTMENTS is now doing business as ZEGA INVESTMENTS, LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
78
December 2025 — ZEGA INVESTMENTS, LLC now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
53
September 2024 — ZEGA INVESTMENTS notice-filed in AL, AR, AZ, CA, CO, CT, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OK, SC, TN, TX, UT, VA, WA, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
63
September 2024 — ZEGA INVESTMENTS began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
73
September 2024 — ZEGA INVESTMENTS's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
June 2024 — ZEGA INVESTMENTS (PALM BEACH GARDENS, FL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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