Zion Capital LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$1,100,000
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
6
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
6
Very LowAverage account size
$183,333
About
Zion Capital LLC provides discretionary asset management and financial planning primarily for individual clients and also works with corporations and qualified retirement plans. Beyond portfolio management, the firm offers ERISA plan services—including acting as a 3(21) advisor or a 3(38) investment manager—and conducts educational seminars and workshops for plan participants and the public.
The firm builds customized investment programs based on each client’s goals, time horizon and risk tolerance, using fundamental and technical analysis to guide security selection and asset allocation. Portfolios are monitored regularly with periodic (typically quarterly) reviews for rebalancing, tax-loss harvesting opportunities and adjustments tied to changes in client circumstances; financial plans cover cash flow, retirement, tax-reduction and estate-preservation analysis.
What distinguishes the firm from many peers is the combination of pension consulting and public education offerings—services that are statistically less common among independent advisors—and its explicit work with corporate plan sponsors. The firm’s principal maintains an independent insurance practice (approximately 5% of time) and receives customary insurance commissions (about 5% of compensation); Zion discloses this outside business activity and describes procedures and fiduciary obligations intended to mitigate resulting conflicts.
Client services
Financial planning
Portfolio management
Pension consulting
Educational seminars or workshops
Expertise
Wealth management
Retirement plans for business owners (SEP, solo 401k)
Tax strategies for small businesses
Fee options
ERISA Plan Services fees may be charged as a flat fee or percentage of assets, negotiable, up to 1.00% annually
2.00% annually (maximum, negotiable)
Investment Advisor Representatives receive external compensation for sales of investment-related products such as insurance, approximately 5% of compensation
Financial planning services charged at $150 per hour
Fee-only: Hourly financial planning fee of $150 per hour
Most active in
Zion Capital LLC has reported serving >5 clients in these states in the last 12 months.
Louisiana
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
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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