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ZACKS INVESTMENT MANAGEMENT, INC.
CRD 110897File 801-40592
APPROVED
Retail clients
Custody
Filing as of May 29, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$14.59B
Top 10% of cohort (national)
Discretionary AUM
$14.59B
Clients
3,727
12,368 accounts
Employees
132
Top 10% of cohort in IL
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jan 17, 1992
- Principal office
- 101 N. WACKER DRIVE, SUITE 1500, CHICAGO, IL, 60606
- Phone
- 312-265-9266
- Website
- HTTP://WWW.ZACKSIM.COM/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $14.59B
- Discretionary AUM
- $14.59B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 12,368
- Non-discretionary accounts
- 0
- Total accounts
- 12,368
- AUM per client
- $3.9M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 79 | $130.2M |
| Investment companies | 8 | $809.1M |
| Charitable organizations | 2 | $28.5M |
| Other investment advisers | 179 | $2.41B |
| High net worth individuals | 1,293 | $3.48B |
| Pooled investment vehicles | 2 | $14.1M |
| Pension and profit sharing plans | 111 | $175.2M |
| State or municipal government entities | 2 | $42.5M |
| Individuals (other than high net worth individuals) | 2,051 | $1.01B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 3,741 | 3,727 | decreased by14 |
| Jun 1, 2026 | Employees | 122 | 132 | increased by10 |
| Jun 1, 2026 | Clients | 3,730 | 3,741 | increased by11 |
| Jun 1, 2026 | AUM | $12,414,372,511 | $14,589,556,613 | increased by$2,175,184,102 |
| Jun 1, 2026 | Accounts | 12,050 | 12,368 | increased by318 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 111 | 122 | increased by11 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 3,706 | 3,730 | increased by24 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $10,555,925,107 | $12,414,372,511 | increased by$1,858,447,404 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 11,373 | 12,050 | increased by677 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 96 | 111 | increased by15 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 3,017 | 3,706 | increased by689 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $7,830,959,238 | $10,555,925,107 | increased by$2,724,965,869 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 6,580 | 11,373 | increased by4,793 |
| Jun 1, 2022 | Clients | 2,259 | 3,017 | increased by758 |
| Jun 1, 2022 | AUM | $6,216,317,967 | $7,830,959,238 | increased by$1,614,641,271 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ZACKS INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ZACKS INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.