Zurich Awes Financial Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$26,388,144
Clients
66
17% 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
66
HighAverage account size
$399,820
About
Zurich Awes Financial Management, LLC works with individuals, trusts, pension and profit-sharing plans, and small business clients to provide asset management, financial planning and pension consulting. The firm typically charges percentage-of-assets-under-management fees for portfolio services and uses flat or hourly arrangements for planning and pension engagements.
The adviser builds customized portfolios that may include individual equities, bonds, ETFs, options and private investments, applying a mix of approaches such as Modern/Post‑Modern Portfolio Theory, fundamental and technical analysis, and both long‑ and short‑term strategies. Relationships are often managed on a discretionary basis with at least quarterly reviews, virtual meetings and client access to a secure planning and reporting portal; the firm also discloses use of third‑party vendors for rebalancing, planning and administrative tasks.
Several features distinguish the firm from many peers: the principal is licensed as an insurance producer and may sell insurance products for commission in addition to providing advisory services, a potential conflict the firm discloses. The firm also provides pension consulting to plan sponsors (including participant education and plan monitoring), distributes periodic educational material via its client portal, and may refer clients to an affiliated small‑business advisory entity for strategic services.
Client services
Financial planning
Portfolio management
Pension consulting
Newsletters or periodicals
Educational seminars or workshops
Business consulting
Expertise
Active portfolio management
Options & derivatives strategies
ESG / Sustainable investing
Occupation focus
Founder/Business Owner
Executive
Fee options
Flat fees for financial planning range from $1,800 to $50,000; Pension consulting flat fees range from $3,500 to $50,000
$0+: up to 1.99% annually +: up to 2.75% in certain circumstances
Insurance commissions earned by affiliated insurance agents, separate from advisory fees
Hourly fees for financial planning range from $300 to $500 per hour
Account minimum: $500,000 Minimum fee: Minimum fee of $1,800 for financial plans Fee-only: Financial planning and consulting fees charged on hourly or flat fee basis
Most active in
Zurich Awes Financial Management, LLC has reported serving >5 clients in these states in the last 12 months.
Minnesota · Texas · Virgin Islands
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.
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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
Quick links
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