Zia Capital Investments LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$10,637,146
This total excludes 2 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
66
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
66
Average account size
$161,169
About
Zia Capital Investments provides ongoing portfolio management and written financial planning to individuals, trusts, and non-profit clients, and also offers access to insurance products including annuities. The firm delivers services on a discretionary basis and documents client goals and risk tolerance in individualized Investment Policy Statements.
The firm bases portfolio construction on modern portfolio theory and combines a core passive allocation with tactical, active adjustments driven by financial research; accounts are monitored regularly and managed under discretionary authority. Zia Capital’s strategies include the use of more complex instruments—short sales, margin, options—and access to alternative investments such as private placements and venture capital funds.
Compared with many solo independent advisers, Zia Capital works with institutional-type clients and engages with insurance-related business: its principal is a licensed insurance agent and the brochure discloses advising non-profit organizations on planned giving. The combination of institutional/non-profit engagements, insurance product sales by firm personnel, and use of leveraged/derivative strategies is less common for firms of this size and is disclosed as a potential source of conflicts that the firm says it manages through policies and client-level disclosures.
Client services
Financial planning
Portfolio management
Expertise
Life insurance needs analysis
Retirement income strategy
College savings (529s, UTMA, etc.)
Debt management
Annuities
Fee options
Up to $6,000 annually or up to $500 per month for financial planning
2.00% annually
Main office location
Zia Capital Investments LLC
9201 Montgomery Blvd Ne, Building 1, Ste 8
Albuquerque NM 87111, United States
Number of offices
2
Most active in
Zia Capital Investments LLC has reported serving >5 clients in these states in the last 12 months.
Colorado · New Mexico · Texas · Virginia
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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