# Zacks Investment Management, Inc.

> Zacks Investment Management, Inc. is an SEC-registered investment advisory firm in Chicago, IL, registered since 1992, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated May 29, 2026.

- CRD: 110897
- Filed as: ZACKS INVESTMENT MANAGEMENT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Chicago, IL
- Filing period: October 2026
- Form ADV filing dated: May 29, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/110897
- AdvisorCensus page: https://advisorcensus.com/firm/zacks-investment-management-inc-chicago-il-110897

## Quick answers

**How is Zacks Investment Management, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Zacks Investment Management, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Zacks Investment Management, Inc. located?**
Zacks Investment Management, Inc.'s principal office is in Chicago, IL, according to its Form ADV; the June 2026 filing also lists 19 other offices (Schedule D, Section 1.F).

**Is Zacks Investment Management, Inc. registered with the SEC or a state?**
Zacks Investment Management, Inc. is an SEC-registered investment advisory firm, registered since 1992. Status as filed: Approved. CRD 110897.

**How much does Zacks Investment Management, Inc. manage?**
Zacks Investment Management, Inc. reports $14,589,556,613 in regulatory assets under management in its Form ADV filing dated May 29, 2026 (100% discretionary).

**How have Zacks Investment Management, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Zacks Investment Management, Inc.: Regulatory assets under management: $6,216,317,967 in the October 2021 data and $14,589,556,613 in the October 2026 data, up 135%. Total employees: 96 in October 2021 and 132 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Zacks Investment Management, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (2,051); high net worth individuals (1,293); other investment advisers (179).

**Which custodians does Zacks Investment Management, Inc. use?**
Zacks Investment Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Fidelity Brokerage Services LLC, LPL Financial LLC and Wells Fargo Securities, LLC as custodians holding 10% or more of its separately managed account assets.

**Does Zacks Investment Management, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/110897

**What changed in Zacks Investment Management, Inc.'s recent Form ADV filings?**
In the June 2026 filing data: Regulatory assets under management went from $12,414,372,511 to $14,589,556,613 (+18%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Fidelity Brokerage Services LLC
- LPL Financial LLC
- Wells Fargo Securities, LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $14,589,556,613
- Discretionary: $14,589,556,613
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 2,051 | $1,005,943,572 |
| High net worth individuals | 1,293 | $3,482,463,714 |
| Investment companies | 8 | $809,077,560 |
| Pooled investment vehicles (other than investment companies and business development companies) | 2 | $14,118,114 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 111 | $175,196,937 |
| Charitable organizations | 2 | $28,546,062 |
| State or municipal government entities (including government pension plans) | 2 | $42,487,474 |
| Other investment advisers | 179 | $2,405,164,681 |
| Corporations or other businesses not listed above | 79 | $130,151,898 |
| Other | 14 | $6,496,406,601 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (and business development companies)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other

### Firm details
- Registered since: 1992 (34 years)
- Employees: 132 total, 11 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the June 2026 filing
- Alexandria, VA
- Atlanta, GA
- Boca Raton, FL
- Boston, MA
- Cincinnati, OH
- Dallas, TX
- Denver, CO
- Houston, TX
- Indianapolis, IN
- La Jolla, CA
- Los Angeles, CA
- Minneapolis, MN
- New York, NY
- Omaha, NE
- Orlando, FL
- Phoenix, AZ
- Salt Lake City, UT
- San Francisco, CA
- Seattle, WA

### Websites listed on Form ADV (Item 1.I)
- zacksadvantage.com
- zackscustomassets.com
- zacksetf.com
- zacksfunds.com
- zacksim.com
- zacksindexservices.com
- zacksintelligence.com
- zackspcg.com
- zimwealth.com
- LinkedIn @zacks-investment-management

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $6,216,317,967 | 96 | August 2, 2021 |
| October 2022 | $7,830,959,238 | 96 | August 11, 2022 |
| October 2023 | $8,373,508,701 | 114 | May 25, 2023 |
| October 2024 | $10,555,925,107 | 111 | May 29, 2024 |
| October 2025 | $12,414,372,511 | 122 | May 29, 2025 |
| October 2026 | $14,589,556,613 | 132 | May 29, 2026 |

Regulatory assets under management: $6,216,317,967 in the October 2021 data and $14,589,556,613 in the October 2026 data, up 135%.
Total employees: 96 in October 2021 and 132 in October 2026.

## Changes in the filing (last 12 months)

### June 2026
- Regulatory assets under management went from $12,414,372,511 to $14,589,556,613 (+18%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Zacks Investment Management, Inc. (CRD 110897): Form ADV filing data as of October 2026.