SEC-registered independent wealth management RIA
Zacks Intelligence LLC
As of its Form ADV filed May 29, 2026, Zacks Intelligence LLC, an SEC-registered independent wealth management RIA in Chicago, Illinois, reported $2 in regulatory assets under management across 1 account, ranking #704 among independent RIAs in Illinois by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 333798
- SEC file number
- 801-131598
- Registered since
- December 10, 2024
- Latest Form ADV filing
- May 29, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- February
- Other offices
- 0
Key figures
- Regulatory assets under management
- $2
- Discretionary
- $2 (100.0%)
- Non-discretionary
- $0
- Accounts
- 1 (1 discretionary)
- Clients
- 1, approximate as reported
- Employees
- 10
- Advisory staff
- 3 performing investment advisory functions
- Average account
- $2
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
Assets over time
Data table
| As of | RAUM |
|---|---|
| September 2, 2025 | $0 |
| October 2, 2026 | $2 |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) fewer than 5 clients | $2 | |
| High net worth individuals fewer than 5 clients | $0 | |
| Banking or thrift institutions fewer than 5 clients | $0 | |
| Pension and profit sharing plans fewer than 5 clients | $0 | |
| Charitable organizations fewer than 5 clients | $0 | |
| State or municipal government entities fewer than 5 clients | $0 | |
| Other investment advisers fewer than 5 clients | $0 | |
| Insurance companies fewer than 5 clients | $0 | |
| Sovereign wealth funds and foreign official institutions fewer than 5 clients | $0 | |
| Corporations or other businesses fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
- Subscription fees
- Other
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Other
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Accountant or accounting firm
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 4
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 4
3 of the firm's 4 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Illinois
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Zacks Intelligence LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: zackswp.com
- Independent RIAs in Illinois
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.