Investment adviser · CRD 156803

ZEGA FINANCIAL, LLC

Investment adviser filing (IA)

PALM BEACH GARDENS, FL, United States · Form ADV filed Dec 2, 2024

Regulatory AUM: $4.55B
Client accounts: 36
Employees: 16
Advisory professionals: 14

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Investment companies	36	$4,548,181,412	100.0%

Filing source

Form ADV 1917436 · Dec 2, 2024 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

ZEGA HIGH PROBABILITY OPTION FUND, LPHedge Fund · Last reported Feb 11, 2016$4.78MGross asset value

Fund administrator UUMB FUND SERVICES MILWAUKEE, Wisconsin, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KMPG DENVER, Colorado, United States

Custodian TD AMERITRADE, INC. SAN DIEGO, California, United States Related to adviser: No

Custodian WELLS FARGO BANK, N. A. SAN FRANCISCO, California, United States Related to adviser: No

Marketer SOURCE CAPITAL GROUP, INC. WESTPORT, Connecticut, United States Related to adviser: No

Prime broker TD AMERITRADE, INC. SAN DIEGO, California, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

TD AMERITRADE, INC.
SEC 8-23395

SOURCE CAPITAL GROUP, INC.
CRD 36719

TD AMERITRADE, INC.
CRD 7870 · SEC 8-23395

Fund details & source

Fund ID: 805-1367550621
Reported beneficial owners: 6
Minimum commitment: $250K

Form ADV 978482 · Feb 11, 2016 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Dec 2, 2024. View historical filings

Reported services

Investment company portfolio management

Compensation

Percentage of assets

Principal office

3801 PGA BOULEVARD, SUITE 600
PALM BEACH GARDENS, FL, 33410, United States

CRD 156803

Filing source

Form ADV 1917436 · Dec 2, 2024 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.