Form D · Insurance
HNW PPVUL Series Account - 1
Schaumburg, IL · CIK 0001537090
Offering snapshot reported Dec 1, 2025 · SEC filing
- Reported sold
- $679M Indefinite offering
- Investors reported
- 183 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 | $678,984,679 | No comparison | 183 | SEC filing |
| May 3, 2024 | Amendment | $623,388,825 | $74,210,487vs May 19, 2023 | 170 | SEC filing |
| May 19, 2023 | Amendment | $549,178,338 | $92,704,994vs Jun 28, 2022 | 157 | SEC filing |
| Oct 24, 2022 | Amendment | $440,323,580 | -$16,149,764vs Jun 28, 2022 | 137 | SEC filing |
| Jun 28, 2022 | Amendment | $456,473,344 | $37,479,339vs Aug 9, 2021 | 128 | SEC filing |
| Aug 9, 2021 | Amendment | $418,994,005 | No comparison | Not reported | SEC filing |
| Aug 5, 2021 | Amendment | $418,994,005 | $48,538,787vs Jun 9, 2020 | 115 | SEC filing |
| Jun 9, 2020 | Amendment | $370,455,218 | $73,489,296vs May 16, 2019 | 109 | SEC filing |
| May 16, 2019 | Amendment | $296,965,922 | $52,869,314vs Jun 12, 2018 | 92 | SEC filing |
| Jun 12, 2018 | Amendment | $244,096,608 | $60,129,454vs Mar 31, 2017 | 81 | SEC filing |
| Mar 31, 2017 | Amendment | $183,967,154 | $165,543,147vs Feb 27, 2014 | 72 | SEC filing |
| Mar 14, 2016 | Amendment | $106,213,955 | $87,789,948vs Feb 27, 2014 | 53 | SEC filing |
| Feb 27, 2014 | Amendment | $18,424,007 | $11,949,874vs Feb 7, 2013 | 5 | SEC filing |
| Feb 7, 2013 | Amendment | $6,474,133 | No comparison | 5 | SEC filing |
| Feb 6, 2012 | Initial | Yet to sell | No comparison | 0 | SEC filing |
Offering details
- Securities
- Pooled investment fund, Other
- Exemptions
- 06c, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $4.87M
- Finders' fees
- $0
- Form D file number
- 021-565326
$678,984,679 is the total amount of premium received
Interests in ZALICO's HNW PPIVUL Series Account-1 issued pursuant to variable life insurance policies.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| M Holdings Securities, Inc | 43285 | M Holdings Securities, Inc · CRD 43285 |
| Benefit Financial Securities LLC | 45113 | Benefit Financial Securities LLC · CRD 45113 |
| First Liberties Financial | 14432 | First Liberties Financial · CRD 14432 |
| Kestra Investments LLC | 42046 | Kestra Investments LLC · CRD 42046 |
| Leaders Group Inc | 37157 | Leaders Group Inc · CRD 37157 |
| Oberlin Financial International | 294205 | Oberlin Financial International · CRD 294205 |
| Stern Capital | 131226 | Stern Capital · CRD 131226 |
| Morgan Stanley | 149777 | Morgan Stanley · CRD 149777 |
| UBS Financial Services | 8174 | UBS Financial Services · CRD 8174 |
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 |
|---|---|
| Page Adam | Executive |
| Vinay Awati | Executive |
| Leann Badgett | Executive |
| Lisa Baltazar | Executive |
| Scott Beeman | Executive |
| Stuart Berman | Director |
| Debra Broek | Director |
| Bob Burne | Director |
| Kenneth Carroll | Director |
| Patrick Carty | Executive |
| Rosario Cecco | Executive |
| Eric Chandler | Executive |
| Dawn Cummings Fritz | Director |
| Dave Dampman | Executive |
| David Dampman | Executive |
| Bob Daniel | Executive |
| Mary Dening | Executive |
| David Dietz | Director, Executive |
| Michael Di Stasi | Executive |
| Stefan Dunajewski | Executive |
| Eileen Ehlers | Executive |
| Cathy Ehrlich | Executive |
| Rita Falco | Executive |
| David Fike | Director, Executive |
| Ryan Gibbons | Executive |
| Robert Gibson | 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 |
| Mark Knipfer | Director |
| Margaret Labno | Executive |
| Jane Larson | Executive |
| Laura Lazarcyk | Director |
| Laura Lazarczyk | Director, Executive |
| Simon Lodge | Executive |
| Kathy Malamis | Executive |
| Audrey Martin | Executive |
| Elizabeth Mc Inerney | Executive |
| Eion Mcnamara | Executive |
| Eoin Mc Namara | Executive |
| John Miskel | Executive |
| Jon Nagel | Executive |
| Paul Noftke | Director |
| Stacy Patacsil | Executive |
| John Patton | Executive |
| Barry Paul | Director |
| Tracy Peeples | Executive |
| Louis Pietroluongo | Director |
| Girish Rao | Executive |
| Farah Rehman | Executive |
| Dennis Roberts | Executive |
| Michael Rohwetter | Executive |
| Prithpal Ruprai | Executive |
| Art Sanders | Executive |
| Stanislav Sukhorukov | Executive |
| Oscar Tengtio | Executive |
| Juanita Thomas | Executive |
| Craig Toffolo | Executive |
| Matt Wolf | Executive |
| Angela Yochem | Executive |
| Sherif Zakhary | Executive |
| Feng Zhao | Executive |
| 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