Form D · Insurance
HNW PPVA Series Account - 1
Schaumburg, IL · CIK 0001605628
Offering snapshot reported Dec 1, 2025 · SEC filing
- Reported sold
- $2.09B Indefinite offering
- Investors reported
- 1,485 Form D · investor count
- Minimum accepted
- $500K Reported outside-investor minimum
- First sale
- Feb 8, 2012 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Dec 1, 2025 | Initial | $2,087,255,372 | No comparison | 1,485 | SEC filing |
| May 3, 2024 | Amendment | $1,475,815,861 | $234,737,923vs May 19, 2023 | 964 | SEC filing |
| May 19, 2023 | Amendment | $1,241,077,938 | $665,852,236vs Jun 28, 2022 | 838 | SEC filing |
| Jun 28, 2022 | Amendment | $575,225,702 | $32,695,170vs Aug 9, 2021 | 128 | SEC filing |
| Aug 9, 2021 | Amendment | $542,530,532 | No comparison | Not reported | SEC filing |
| Aug 5, 2021 | Amendment | $542,530,532 | No comparison | Not reported | SEC filing |
| Jun 10, 2020 | Amendment | $499,407,001 | $51,466,514vs May 16, 2019 | 85 | SEC filing |
| May 16, 2019 | Amendment | $447,940,487 | $100,187,297vs Jun 12, 2018 | 68 | SEC filing |
| May 16, 2019 | Amendment | $447,940,487 | $100,187,297vs Jun 12, 2018 | 68 | SEC filing |
| Jun 12, 2018 | Amendment | $347,753,190 | $48,674,038vs Apr 3, 2017 | 59 | SEC filing |
| Jun 12, 2018 | Amendment | $347,753,190 | $48,674,038vs Apr 3, 2017 | 59 | SEC filing |
| Apr 3, 2017 | Amendment | $299,079,152 | $279,079,152vs Apr 17, 2014 | 47 | SEC filing |
| Mar 14, 2016 | Amendment | $212,466,829 | $192,466,829vs Apr 17, 2014 | 51 | SEC filing |
| Apr 17, 2014 | Initial | $20,000,000 | No comparison | 1 | SEC filing |
Offering details
- Securities
- Pooled investment fund, Other
- Exemptions
- 06c, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $11.6M
- Finders' fees
- $0
- Form D file number
- 021-565328
$2,087,255,372 is the total amount of premiums received
Interests in ZALICO's HNW PPVA Series Account- 1 issues pursuant to variable annuities
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| M Holdings Securities | 43285 | M Holdings Securities · CRD 43285 |
| JP Morgan Chase Bank | 79 | JP Morgan Chase Bank · CRD 79 |
| Mercer Allied Company LP | 37404 | Mercer Allied Company LP · CRD 37404 |
| Morgan Stanley | 149777 | Morgan Stanley · CRD 149777 |
| RBC Capital Markets | 31194 | RBC Capital Markets · CRD 31194 |
| UBS | 8174 | UBS · CRD 8174 |
| American Portfolio Financial Advisors Inc | 18487 | American Portfolio Financial Advisors Inc · CRD 18487 |
| First Liberties Financial | 14432 | First Liberties Financial · CRD 14432 |
| High Tower Securities LLC | 116681 | High Tower Securities LLC · CRD 116681 |
| Kestra Investment Services LLC | 42046 | Kestra Investment Services LLC · CRD 42046 |
| Leaders Group Inc | 37157 | Leaders Group Inc · CRD 37157 |
| Lion Street Financial LLC | 165828 | Lion Street Financial LLC · CRD 165828 |
| Purshe Kaplan Investments | 35747 | Purshe Kaplan Investments · CRD 35747 |
| Rockefeller Capital Management | 291361 | Rockefeller Capital Management · CRD 291361 |
| Valmark Securities Inc | 312243 | Valmark Securities Inc · CRD 312243 |
Source: Form D, filed Dec 1, 2025. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Vinay Awati | Executive |
| Leann Badgett | Executive |
| Lisa Baltazar | Executive |
| Scott Beeman | Director |
| Stuart Berman | Director |
| Debra Broek | Director |
| Bob Burne | Director |
| Kenneth Carroll | Director |
| Patry Carty | Executive |
| Patrick Carty | Executive |
| Erica Chandler | Executive |
| Eric Chandler | Executive |
| Dawn Cummings Fritz | Director |
| Dave Dampman | Executive |
| David Dampman | Executive |
| Bob Daniel | Executive |
| Mary Denning | Executive |
| David Dietz | Director, Executive |
| Stefan Dunajewski | Executive |
| Eileen Ehlers | Executive |
| Cathy Ehrlich | Executive |
| Rita Falco | Executive |
| David Fike | Director, Executive |
| Ryan Gibbons | Executive |
| Richard Grilli | Executive |
| Cathy Hall | Executive |
| Mark Hargrove | Executive |
| Susan Harvish | Executive |
| Richard Hauser | Director, Executive |
| Judith Henderson | Executive |
| Peter Hirs | Director |
| Jeffrey Horton | Executive |
| Christopher Howard | Executive |
| Novian Junus | Executive |
| Richard Kearns | Director |
| Ira Kleinman | Director |
| Mark Kniper | Director |
| Margaret Labno | Executive |
| Laura Larczyk | Director, Executive |
| Jane Larson | Executive |
| Laura Lazarcyk | Director |
| Laura Lazarczyk | Director, Executive |
| Simon Lodge | Executive |
| Audrey Martin | Executive |
| Elizabeth Mc Inerney | Executive |
| Eion Mcnamara | Executive |
| Eoin Mc Namara | Executive |
| John Miskel | Executive |
| Jon Nagel | Executive |
| Paul Noftke | Director |
| Adam Page | Executive |
| Stacy Patacsil | Executive |
| John Patton | Executive |
| Tracy Peebles | Executive |
| Louis Pietrolugo | Director |
| Louis Pietroluongo | Director |
| Girish Rao | Executive |
| Farah Rehman | Executive |
| Dennis Roberts | Executive |
| Michael Rohwetter | Executive |
| Prithpal Ruprai | Executive |
| Art Sanders | Executive |
| Oscar Tengtio | Executive |
| Juanita Thomas | Executive |
| Craig Toffolo | Executive |
| Matt Wolf | Executive |
| Angela Yochem | Director |
| Feng Zhao | Director |
| Colleen Zitt | Director, Executive |
| N/A Zurich American Life Insurance Company | Promoter |
Issuer details
Industry: Insurance (See others in industry)
Address:
1400 American Lane
Schaumburg, IL, 60196
Schaumburg, IL, 60196