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Zenith Investment Management, LLC

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Client assets under management

$77,714,564

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Clients

101

29% high-net-worth

Advisors

3

of 6 employees

Firm type

Supported

1-4 advisors or >$200M in AUM

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Clients per advisor

34

Low

Average account size

$769,451

About

Zenith Investment Management provides comprehensive financial planning, discretionary portfolio management, and consultation services to individual and institutional clients, including high‑net‑worth households. The firm also advises and recommends interests in pooled investment vehicles and reports approximately $82.4 million in discretionary assets under management across about 101 client relationships handled by a three‑advisor team.

The firm’s client accounts are managed through goal‑based plans that combine fundamental and technical analysis with strategic and tactical asset allocation and selective use of alternative investments; clients may optionally permit the firm to access employer‑sponsored retirement accounts through an aggregation platform. Separately, Zenith serves as investment manager to a private pooled fund that employs a quantitative, proprietary algorithmic strategy and uses long/short positions, index/ETF exposures, and options as part of its risk‑managed approach.

Notable differences from many peers include Zenith’s formal role as a private fund sponsor and adviser and its management of pooled vehicles alongside retail accounts, with the Fund subject to performance‑based compensation structures (including hurdle and high‑water mark provisions) that the firm says it monitors for conflicts. The brochure also discloses less‑common practices for its peer group: use of referral/endorsement arrangements (including a SmartAsset lead matching agreement), having an investment advisor representative who is a licensed insurance agent, and the use of different custodial arrangements for client accounts and the Fund, with compliance reviews of valuation and allocation differences.

Client services

Financial planning Portfolio management

Expertise

Wealth management Options & derivatives strategies

Occupation focus

Founder/Business Owner Executive

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Fee options

Fixed

Fixed fees for comprehensive financial plans typically ranging from $2,000 to $5,000 annually based on hourly rate of $250/hour.

Percentage

$1,000,000 - $3,000,000: 1.40% $3,000,001 - $5,000,000: 1.30% $5,000,001 - $10,000,000: 1.10% $10,000,001 - $20,000,000: 1.00% $20,000,001 - Negotiable: Negotiable

Project-based

Hourly rate for consultation services is $250 per hour, negotiable.

Performance-based

60% performance profit allocation on profits of the Fund exceeding hurdle rate and high watermark, assessed annually.

Subscriptions

Subscription fee for the use of Pontera platform (amount not specified).

Other

Account minimum: $1,000,000 Fee-only: Comprehensive financial planning fees $2,000 to $5,000 annually (based on $250/hour for 8 to 20 hours). Fees are negotiable. Consultation services charged hourly at $250/hour, negotiable.

Main office location

Zenith Investment Management, LLC

7702 E Doubletree Ranch Rd., Suite 300

Scottsdale AZ 85258, United States

Number of offices

3

Most active in

More info

Arizona · California · Colorado · Connecticut · Massachusetts

Disclosures

More info

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

More info

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

LinkedIn Facebook Instagram Website 858-716-8500

Advisors at this firm

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user avatar

Jonathan H

Series 65

San Diego, CA

Zenith Investment Management, LLC

Jonathan Hoffman is a financial advisor at Zenith Investment Management, LLC with five years of industry experience. He holds a Series 65 designation and has worked at Zenith since 2019. In addition to his advisory role, he is a licensed independent insurance agent specializing in long-term care, life, and disability insurance. Zenith Investment Management is a boutique firm with three advisors managing approximately $89 million. The firm offers comprehensive financial planning, discretionary portfolio management, and consultation services to individuals, trusts, estates, and charitable organizations, employing a customized investment approach that includes both fundamental and technical analysis.

Wealth management Options & derivatives strategies Founder/Business Owner Executive
user avatar

Jacob C

Series 63, Series 66

Scottsdale, AZ

Zenith Investment Management, LLC

Jacob Chaparro is a financial advisor at Zenith Investment Management, LLC with 16 years of industry experience. He holds Series 63 and Series 66 licenses and has worked at several firms, including Advisory Services Network, Level Four Advisory Services, Gallacher Capital Management, and LPL Financial. Zenith Investment Management is a boutique firm with three advisors managing approximately $89 million. The firm offers comprehensive financial planning and discretionary portfolio management to individuals, trusts, estates, and charitable organizations, emphasizing customized asset allocation and a combination of fundamental and technical analysis.

Wealth management Options & derivatives strategies Founder/Business Owner Executive
user avatar

David F

Series 63, Series 66

Longmeadow, MA

Zenith Investment Management, LLC

David Fernandes is a financial advisor at Zenith Investment Management, LLC with 15 years of industry experience. He holds Series 63 and Series 66 designations. Prior to joining Zenith in 2021, he worked at TD Ameritrade Investment Management, LLC and Scottrade. Zenith Investment Management is a boutique firm with three advisors managing approximately $89 million, providing goals-based financial planning, discretionary portfolio management, and consultation services to individuals, trusts, estates, and charitable organizations. The firm also manages a private fund using a quantitative strategy and offers access to retirement savings accounts through an aggregation platform.

Wealth management Options & derivatives strategies Founder/Business Owner Executive
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