Form D · Insurance
ZALICONY HNW PPVA Series Account - 1
New York, NY · CIK 0001610286
Offering snapshot reported Dec 1, 2025 · SEC filing
- Reported sold
- $268M Indefinite offering
- Investors reported
- 171 Form D · investor count
- Minimum accepted
- $500K Reported outside-investor minimum
- First sale
- Apr 28, 2014 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 | $268,249,679 | No comparison | 171 | SEC filing |
| May 3, 2024 | Amendment | $140,819,418 | -$33,070,458vs May 19, 2023 | 118 | SEC filing |
| May 19, 2023 | Amendment | $173,889,876 | $111,358,893vs Jun 29, 2022 | 95 | SEC filing |
| Jun 29, 2022 | Amendment | $62,530,983 | $250,000vs Aug 9, 2021 | 5 | SEC filing |
| Aug 9, 2021 | Amendment | $62,280,983 | No comparison | Not reported | SEC filing |
| Aug 9, 2021 | Amendment | $62,280,983 | No comparison | Not reported | SEC filing |
| May 16, 2019 | Amendment | $62,280,983 | $1,000,000vs Jun 12, 2018 | 4 | SEC filing |
| Jun 12, 2018 | Amendment | $61,280,983 | $1,500,000vs Mar 31, 2017 | 5 | SEC filing |
| Mar 31, 2017 | Amendment | $59,780,983 | $28,020,132vs Mar 14, 2016 | 4 | SEC filing |
| Mar 14, 2016 | Amendment | $31,760,851 | $11,760,851vs Jul 7, 2014 | 7 | SEC filing |
| Jul 7, 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
- $2.38M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-565323
$268,249,679.44 is the total amount of premiums paid
Interests in ZALICONY HNW PPVA Series Account - 1 pursuant to variable life annuity contracts.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Morgan Stanley | 149777 | Morgan Stanley · CRD 149777 |
| JP Morgan Securities, LLC | 79 | JP Morgan Securities LLC · CRD 79 |
| RBC Capital Markets, LLC | 31194 | RBC Capital Markets, LLC · CRD 31194 |
| Rockefeller Capital Management Insurance | 294197 | Rockefeller Capital Management Insurance · CRD 294197 |
| UBS | 8174 | UBS · CRD 8174 |
| M Holdings Securities | 43285 | M Holdings Securities · CRD 43285 |
| Mercer Allied Company LP | 37404 | Mercer Allied Company LP · CRD 37404 |
| Valmark Securities | 312243 | Valmark Securities · CRD 312243 |
| Park Avenue Securities LLC | 46173 | Park Avenue Securities LLC · CRD 46173 |
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 | Executive |
| James Bracken | Director, Executive |
| Debra Broek | Director |
| Kenneth Carroll | Director |
| Patrick Carty | Executive |
| Eric Chandler | Executive |
| Dawn Cummings Fritz | Director |
| Dave Dampman | Director, Executive |
| David Dampman | Director, Executive |
| Bob Daniel | Executive |
| Diane Davis | Executive |
| Mary Denig | Executive |
| Mary Dening | 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 |
| Rion Groves | Executive |
| Cathy Hall | Executive |
| Mark Hargrove | Executive |
| Susan Harvish | Executive |
| Richard Hauser | Executive |
| Judith Henderson | Executive |
| Peter Hirs | Director |
| Jeffrey Horton | Executive |
| Christopher Howard | Executive |
| Novian Junus | Executive |
| Ira Kleinman | Director |
| Margaret Labno | Executive |
| Jane Larson | Executive |
| Laura Lazarczyk | Director, Executive |
| Simon Lodge | Director, Executive |
| Frank Malagreca | Director, Executive |
| Audrey Martin | Director, Executive |
| Elizabeth Mc Inerney | Director, Executive |
| Sean Mc Kinley | Executive |
| Eoin Mc Namara | Executive |
| John Miskel | Executive |
| Jon Nagel | Executive |
| Adam Page | Executive |
| John Patton | Executive |
| Louis Pietroluongo | Director |
| Girish Rao | Executive |
| Farah Rehman | Executive |
| Dennis Roberts | Executive |
| Michael Rohwetter | Executive |
| Gary Rose | Executive |
| Prithpal Ruprai | Executive |
| Art Sanders | Executive |
| Oscar Tengtio | Executive |
| Juanita Thomas | Executive |
| Matt Wolf | Executive |
| Ira Yochem | Director |
| Feng Zhao | Executive |
| Colleen Zitt | Executive |
Issuer details
Industry: Insurance (See others in industry)
Address:
4 Wtc 150 Greenwich Street
New York, NY, 10006
New York, NY, 10006