SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Zoe Financial, Inc.
New York, NY
CRD 285158
Firm filing updated September 2, 2026 ·
- $283.5MAssets
- 1,689Clients
- 2Advisory staff
- 2,749Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- OtherYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
Who the firm serves
- Individuals1,579
- Other investment advisors81
- High net worth individuals29
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 1,579 | $194.5 million |
| High net worth individuals | 29 | $88.9 million |
| Other investment advisors | 81 | $0 |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
See all 4 services
- Other: "REFERRAL SERVICE"
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisors (including private fund managers)
- Other: "REFERRAL SERVICE"
Assets and accounts
- Regulatory assets$283.5 million
- Accounts2,749
- Discretionary$118.2 million · 1,143 accounts
- Non-discretionary$165.3 million · 1,606 accounts
People
- Employees45
- Advisory staff2
- Broker-dealer reps5
- Licensed insurance agents0
- Planning clients0
Advisors
6 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 285158, SEC file 801-117745.
- Registered with the SEC as an investment advisor (status date on record: December 5, 2019).
Is Zoe Financial, Inc. a fiduciary?
Short answer: Zoe Financial, Inc. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 5 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.