# Zurich Awes Financial Management, LLC

> Zurich Awes Financial Management, LLC is a state-registered investment advisory firm in Sanford, NC, registered since 2012, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated May 8, 2026.

- CRD: 121033
- Filed as: ZURICH AWES FINANCIAL MANAGEMENT, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Sanford, NC
- Filing period: October 2026
- Form ADV filing dated: May 8, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/121033
- AdvisorCensus page: https://advisorcensus.com/firm/zurich-awes-financial-management-llc-sanford-nc-121033

## Quick answers

**How is Zurich Awes Financial Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Zurich Awes Financial Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Zurich Awes Financial Management, LLC located?**
Zurich Awes Financial Management, LLC's principal office is in Sanford, NC, according to its Form ADV.

**Is Zurich Awes Financial Management, LLC registered with the SEC or a state?**
Zurich Awes Financial Management, LLC is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 121033.

**How much does Zurich Awes Financial Management, LLC manage?**
Zurich Awes Financial Management, LLC reports $26,388,144 in regulatory assets under management in its Form ADV filing dated May 8, 2026 (98% discretionary).

**What types of clients does Zurich Awes Financial Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (55); high net worth individuals (11).

**Does Zurich Awes Financial Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/121033

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $26,388,144
- Discretionary: $25,866,130
- Non-discretionary: $522,014

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 55 | $11,481,277 |
| High net worth individuals | 11 | $14,906,867 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Publication of periodicals or newsletters
- Educational seminars/workshops
- Other

### Firm details
- Registered since: 2012 (14 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MN, VI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- zurichawes.com
- Facebook @zurichawesfinancialmanagement
- LinkedIn @zurich-awes-financial-management
- LinkedIn @zurichawes

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Zurich Awes Financial Management, LLC (CRD 121033): Form ADV filing data as of October 2026.